Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Openshaw (Openshaw), previously associated with KCD Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Openshaw recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on November 11, 2024.
Three purchases of REITS occurring between 08/03/2018 and 02/19/2019. Client claims transactions were unsuitable
