Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mcnally (Mcnally), currently associated with Mcnally Financial Services Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcnally 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 $366,773.00 on June 22, 2020.
Breach of fiduciary duty, negligent supervision, violation of Corporation Code Section 25400 et seq, Control liability under Corporation Code 25403, 25504, 25504.1, Elder abuse under CA Welfare and Institutional Code