Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Walsh (Walsh), previously associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walsh 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 $47,500.00 on April 24, 2024.
The events arose while Rep was registered with National Securities. Claimant alleges respondent recommendations were unreasonable because of failure to conduct due diligence and material facts were omitted. Claimant also alleges breach of contact, negligence and gross negligence.