Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Hollenberg (Hollenberg), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hollenberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.
Client complains that his realized gains were exceptionally high, despite being assured by his financial advisor that he would have no capital gains issues. Time frame is 6/2019 thru 12/2019.