Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Tafoya (Tafoya), previously associated with First Heartland Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tafoya 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 $17,158.28 on October 20, 2020.
The customer questioned the suitability of the variable annuity policy that she purchased in March 2015 recommended by the RR. The customer requested to surrender the policy and waive the surrender charges and any penalties.