D. Boral Capital

There are Recent Customer Complaints with Broker Brendan Behan in Firm D. Boral Capital

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brendan Behan (Behan), currently associated with D. Boral Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Behan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable transactions.

Broker Thomas Niemczyk in D. Boral Capital Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Niemczyk (Niemczyk), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Niemczyk 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 $95,027.44 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

Broker Peter Sullivan in D. Boral Capital Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Sullivan (Sullivan), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan 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 $17,000.00 on July 21, 2021.

Client alleges failure to follow instructions and poor performance.

There are Recent Customer Complaints with Broker David Boral in Firm D. Boral Capital

April 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Boral (Boral), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Boral 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 $1,000,000.00 on August 08, 2024.

Claimant seeks return of funds for IPO transaction that never took place in May of 2024.