Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Gallagher (Gallagher), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallagher 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 $74,409.00 on November 03, 2022.
Client alleges that RR misrepresented the investment risk and potential loss of principal related to the investment of her pension funds in FS Energy and Power Fund in September 2013.