Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Wildermuth (Wildermuth), previously associated with Wildermuth Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wildermuth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 07, 2022.
Unsuitable investment, breach of fiduciary duty, negligence, breach of contract, and failure to supervise.