Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Shaffer (Shaffer), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Shaffer 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 $500,000.00 on March 11, 2025.
Claimant alleges that rep misrepresented the material facts involved with the REIT investment. Claimant also alleges that the rep was negligent in managing claimant’s investment.
