Articles Posted in DFPG Investments

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hauber (Hauber), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hauber recommended unsuitable investments in different investment products including debt securities among other allegations…

The law offices of Gana Weinstein LLP is investigating a series of complaints against broker William Sheehan (Sheehan). According to Sheehan’s BrokerCheck records the broker has been the subject of 7 investor complaints since 2010. That many claims against one broker is rare. According to InvestmentNews, only about 12% of…