Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Schlagheck (Schlagheck), previously associated with Cape Securities Inc., has at least 7 disclosable events. These events include 6 customer complaints, one tax lien, alleging that Schlagheck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 06, 2025.
Respondent Schlagheck failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
