Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Raupp (Raupp), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raupp 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 $270,000.00 on February 08, 2023.
Claim is alleging suitability, misrepresentation, and violation of FINRA rules 2010 (fiduciary duty) relating to investments made in 2015 to 2017.