Keith Frederick France of Indianapolis Indiana a stockbroker formerly registered with BMO Harris Financial Advisors Inc. is the subject of a customer initiated investment related complaint on April 29, 2019 in which the customer requested more than $5,000.00 in damages based upon allegations that the customer had been sold a market linked certificate of deposit that was misrepresented by France during the time that he was associated with BMO Harris Financial Advisors.
France has been identified in two additional customer initiated investment related disputes concerning accusations of his misconduct while employed by Morgan Keegan Company Inc. and BMO Harris. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that a customer initiated investment related arbitration claim concerning France’s activities was resolved for $10,980.14 in damages founded on accusations of the stockbroker neglecting to disclose the risks pertaining to mutual funds sold to the Morgan Keegan Company customer. The claim also alleges that the mutual fund transactions which were executed in the customer’s account failed to be suitable.
Another customer initiated investment related complaint pertaining to France’s conduct was settled for $11,651.09 in damages supported by allegations of inappropriate transactions being executed in the customers’ investment advisory account during the period in which France was employed by BMO Harris Financial Advisors. The claim indicates that misrepresentations had been made by France concerning the customer’s advisory account.
France’s employment with BMO Harris Financial Advisors was terminated on March 7, 2019. Since April 5, 2019, he has been registered with Cetera Investment Advisers LLC and Cetera Investment Services LLC.