Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kip Hutto (Hutto), previously associated with Principal Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Hutto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 10, 2024.
Customer alleges the Variable universal Life Insurance policy he purchased in April 2014 was originally understood to be self-sustaining well into his 90’s with an annual premium of $400, however he now understand that the policy May lapse earlier than expected.
