Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanny Howarter (Howarter), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Howarter 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 $325,000.00 on October 16, 2024.
Customers allege breach of fiduciary duty, lack of suitability, impermissible overconcentration and misrepresentation & omission of material information in the sale of an alternative investment.
