Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Fiala (Fiala), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fiala recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 23, 2020.
The complainants allege their representative never invested their money in the Stock Market back in March 2020, when they transferred money from an IRA into a ROTH. As a result, they missed out on a market upswing, and are now facing a tax penalty as a result.