Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Haviland (Haviland), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haviland 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 $44,322.71 on February 28, 2023.
Client alleges unauthorized trading in account incurring a loss of $44,322.71