Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Forschner (Forschner), previously associated with Maxim Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forschner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on December 21, 2023.
Claimant alleges that from December 13, 2012 through December 9, 2019, Mr. Forschner engaged in violations of Michigan Uniform Securities Act, misrepresentation and omission of material facts, use of manipulative or deceptive sales tactics, failure to supervise. Breach of fiduciary duty and breach of contract.