Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Scala (Scala), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scala 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 $1,180,000.00 on December 18, 2025.
The Estate of the Client allege regulation best interest violations took place during the tenure of the account between June 2020 through December 2022.