Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Fox (Fox), previously associated with Gt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $120,000.00 on September 06, 2024.
Negligent supervision and due diligence, improper conduct, breach of fiduciary duty. Approval of unsuitable, illiquid investment.
