David Jonathan Bolton, of Bowling Green, Kentucky, a stockbroker formerly registered with Signator Investors, Inc., has been named in a customer initiated investment related written complaint on April 1, 2016, based upon allegations that Bolton effected unsuitable class A share mutual fund transactions in an elderly customer’s account, and charged the customer with excessive commissions and sales loads in reference to individual stock and mutual fund transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on March 23, 2016, a customer filed an investment related written complaint regarding Bolton’s activities, in which the customer’s claim was based upon allegations that Bolton made unsuitable investment recommendations to the customer concerning investments in mutual fund, insurance, and variable annuity products.
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