Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Loy (Loy), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 04, 2025.
Claimant alleges they were sold an alternative investment that was unsuitable. Additionally, the claimant alleges the Representative misrepresented the investment as riskless and that it would provide guaranteed income.
