Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Hafner (Hafner), currently associated with Next Financial Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hafner 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 $5,000.00 on November 21, 2023.
Customers allege that their investments in a business development company and a real estate investment trust were unsuitable.