Did you incur investment losses with Stephen Kipp? The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Stephen Kipp of NFB Financial Group, LLC related to his alleged unsuitable investments and breach of fiduciary duty.
Miles has six customer complaints and one regulatory action against him by FINRA. Fortunately, for those investors that incurred losses investing with Kipp may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).