Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Snover (Snover), previously associated with the Fig Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Snover recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $383,000.00 on August 14, 2023.
Clients allege that during the period from approximately November 1, 2021, through December 31, 2022, the Investment Adviser Representative breached their fiduciary duty by recommending exchange traded products that were unsuitable for the clients’ risk tolerance.