Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Shephard (Shephard), previously associated with First Command Financial Planning, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shephard 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 $90,000.00 on December 09, 2022.
Claimant alleges unsuitable investments, failure to act in the best interest of the claimant, misrepresentations and omissions, breach of fiduciary duty, breach of contract, failure to supervise, negligence, and violation of state and federal securities laws.