Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Fritzsche (Fritzsche), previously associated with Ifs Securities, has at least one disclosable event. These events include one customer complaint, alleging that Fritzsche recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $108,079.08 on October 20, 2020.
Customer alleges the following: that 2 of her signatures were falsified on investment documentation; that her liquid net worth, net worth, and annual income were misrepresented on investment paperwork; that copies of account documentation were not provided at her request; that the investment recommendation was unsuitable; and that the registered representative was not adequately supervised. Time period of claim: 9/25/12 – 10/20/20