Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trawnegan Gall (Gall), currently associated with Wealthforge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gall 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 $450,000.00 on August 30, 2022.
Claimant alleges unsuitable recommendations by the defendant in 2018 and 2019. Breach of Fiduciary Duty, Violation of FINRA rules, Negligence, Breach of contract