Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Sherwood (Sherwood), previously associated with Greenberg Financial Group, has at least one disclosable event. These events include one customer complaint, alleging that Sherwood recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $72,796.47 on February 22, 2023.
Customer claims decision to purchase GWG L Bonds in Customer’s accounts caused loss and was due to negligence and breach of fiduciary duty.