Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Gunderson (Gunderson), previously associated with Tobin & Company Securities LLC, has at least one disclosable event. These events include one tax lien, alleging that Gunderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 20, 2024.
Violation of Section 116.9(a)(6) of the Rules and Regulations of the Texas State Securities Board for failing to update their U4 within 30 days for two separate disclosures. Pursuant to Section 4007.105(a)(13)(B) and 4007.106(a)(3) these violations constituted the basis for a reprimand and fine.
