Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Droeg (Droeg), previously associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Droeg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 31, 2023.
Plaintiff alleges that Ryan Droeg was aware of his father’s misconduct regarding fictitious statements and converting trust funds for his personal use. Plaintiff further alleges that Ryan Droeg subsequently benefited from that misconduct. \, Alleged misconduct began in 2009 and was reported to the prior firm in September 2021.\, The former firm found no evidence that Ryan was involved.