Securities Lawyers Blog
Currently financial advisor Shawn Everett (Everett), currently employed by brokerage firm Regulus Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.
FINRA BrokerCheck shows a settled customer complaint on September 16, 2021.
Claimant alleges that the registered representative recommended unsuitable high-risk REITs.