Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Dueker (Dueker), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Dueker 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 $43,656.00 on April 23, 2026.
Client alleges that the Representative failed to follow instructions when attempting to lock in gains on a Registered Index Linked Annuity product and that the failure to reinvest the funds after moving them to cash resulted in the client losing out on significant investment gains.