Steven W. Shirley, of Friendswood, Texas, a stockbroker currently registered with IMS Securities, Inc., has been named in a customer initiated investment related arbitration claim on November 10, 2016, in which the customer requested $100,000.00 in damages based upon allegations that Shirley breached his fiduciary duties to the customer, and failed to conduct reasonable due diligence in reference to the customer’s real estate investment trust and direct investment transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure further reveals that on July 18, 2011, a customer filed an investment related written complaint involving Shirley’s conduct, in which the customer requested $125,000.00 in damages based upon allegations that Shirley failed to provide the customer with a contract pursuant to the customer’s purchase of a variable annuity, and failed to apprise the customer of the issuing insurance company’s contact information.
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