Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Slater (Slater), currently associated with Chelsea Financial Services, has at least 2 disclosable events. These events include 2 tax liens, alleging that Slater recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 27, 2025.
David Slater entered into an AWC with FINRA on August 30, 2024 regarding conduct that took place while registered with the Investment Center from 2014- 2022. There was no additional misconduct on the part of David Slater- The action from the California Insurance Commissioner is a Piggyback action of the FINRA AWC
