Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Toetz (Toetz), currently associated with Independence Capital Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Toetz 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 23, 2025.
Failure to supervise Registered Representative who puyt customers in non exsiting Real Estate program