Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senglaub 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 $342,000.00 on April 22, 2021.
Claimants allege the registered representative recommended alternative investments that were unsuitable.