Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Mueller (Mueller), currently associated with Parkland Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mueller 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 $48,000.00 on December 27, 2024.
Clients allege that the closing of their joint account was mishandled in 2022. Registered Representatives vehemently deny any wrongdoing. Upon information and belief, the alleged losses occurred after funds were deposited into the account through a new, unaffiliated financial professional, without the Registered Representatives’ knowledge or any act on their part in 2024.
