Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Omura (Omura), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Omura 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 $72,927.00 on August 13, 2020.
Clients allege that an error which RR acknowledged and agreed to remedy, was, among other things, a violation of Hawaii securities laws.