Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Zupek (Zupek), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zupek 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 $145,715.00 on April 30, 2020.
Claim is alleging breach of contract, fraud, misrepresentation, breach of fiduciary duty and violation of FINRA rules.