Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Langlois (Langlois), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Langlois 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 $870,000.00 on February 25, 2022.
Claimant alleges his financial advisers recommended unsuitable investments. Claimant generally alleges suitability, failure to supervise, negligence, and breach of contract.