Level Four Financial

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Blake (Blake), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $75,000.00 on September 25, 2024.

Plaintiff alleges damages in excess of $75,000 associated with the plaintiff’s purchase of an indexed universal life insurance policy on or around May 17, 2017. Various causes of action are alleged against Craig Blake and his father, Jim Blake, and associated entities in their capacities as financial advisor (Craig Blake), accountant (Craig Blake and Jim Blake), and trustee (Jim Blake) including, breach of fiduciary duty, breach of trust, negligence, unjust enrichment and respondent superior.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Welsh (Welsh), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh 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 $100,000.00 on October 18, 2024.

Time frame: December 2010 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

Articles Tagged with Level Four Financial

Broker Craig Blake in Level Four Financial, LLC Firm Has Customer Complaint

Broker Todd Welsh in Level Four Financial, LLC Firm Has Customer Complaint