Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Elhoff (Elhoff), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elhoff 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 $100,000.00 on January 16, 2026.
Alleges investments were made without the client’s consent and that investments were not suitable. Part of the claim is also for taxes paid as the result of a recommendation that the client roll a Traditional IRA into a ROTH.