Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Roebuck (Roebuck), previously associated with Patrick Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roebuck 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 $1,800,000.00 on April 25, 2024.
Failed to conduct reasonable due diligence, misrepresentations, and disclose material facts.