Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dvorak (Dvorak), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dvorak 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 $85,166.66 on April 23, 2020.
Client alleges she took an unsuitable early distribution from her IRA account in August 2016 at the advice of her registered representative.