Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene Griffin (Griffin), currently associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Griffin 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 $71,000.00 on July 20, 2024.
Customer made an unsolicited purchase of PTON stock. Customer alleges that he also requested a stop loss to be put in place at the time of that transaction, however that stop-loss transaction was never placed.
