Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Wada (Wada), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wada 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 $180,000.00 on August 05, 2021.
Claimants allege the representative recommended investments that were unsuitable.