Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Frohlichstein (Frohlichstein), currently associated with Ausdal Financial Partners, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Frohlichstein 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 $100,000.00 on January 10, 2025.
BREACH OF CONTRACT AND WARRANTIES, PROMISSORY ESTOPPEL; VIOLATION OF STATE SECURITIES STATUTES; BREACH OF FIDUCIARY DUTY; CLAIMS UNDER COMMON LAW; VICARIOUS LIABILITY.
