Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Gattis (Gattis), currently associated with Principal Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gattis 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 $5,000.00 on January 24, 2025.
Client alleges RR made misrepresentations in connection with a VUL policy purchased in 2021.
