Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Test (Test), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one regulatory event, alleging that Test recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 26, 2023.
Representative did not disclose the administrative actions entered against him by FINRA on 2/13/2023 to the Texas Department of Insurance as required by Texas Insurance Code 4005.101(b)(2).