Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Quesada (Quesada), currently associated with Oak Tree Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Quesada 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 $170,000.00 on October 07, 2022.
[REDACTED] held a brokerage account with the firm between January 2020 and January 2022. It was during that time that she worked exclusively with James Gingles. [REDACTED] has a paper trail of wanting to invest in aggressive securities and often frowned upon blue chip recommendations. Mr. Quesada has been named but had no interactions with [REDACTED] during the complaint period other then being the supervisor of Mr. James Gingles.