Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mccauley (Mccauley), currently associated with PHX Financial, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mccauley 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 $50,000.00 on September 28, 2020.
Suitability. The allegations cover the time frame while i was employed at a previous firm from 04/04/2017 through 07/14/2017.