Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Faulkenberry (Faulkenberry), previously associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Faulkenberry 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 $26,008.00 on May 29, 2024.
The client alleges starting in January 2022, the representative failed to provide any advice or recommendations which caused her to lose money.