Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Vaughn (Vaughn), previously associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vaughn 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 $100,000.00 on February 22, 2024.
Claimants allege breach of fiduciary duty, negligence, and negligent supervision between 2019 and 2022.