Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Danny Strain (Strain), currently associated with Cape Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Strain 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 $500,000.00 on November 01, 2023.
Misrepresentation and misleading information regarding investments.