Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Brooks (Brooks), previously associated with U.s. Bancorp Investments, Inc., has at least one disclosable event. These events include one regulatory event, alleging that Brooks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 31, 2024.
Respondent Brooks failed to respond to FINRA requests for information.
