Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Waage (Waage), previously associated with Capital Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waage 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 $5,000.00 on March 05, 2020.
Clients allege breach of fiduciary duty, misrepresentation,violation of indiana state securities laws.