Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Mang (Mang), previously associated with Capfinancial Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Mang 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 $105,000.00 on December 24, 2020.
Claimant alleges that their financial advisor recommended unsuitable investments. Claimant generally alleges breach of contract, breach of fiduciary duty, misrepresentation, unjust enrichment, failure to supervise and negligence.