Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Belz (Belz), currently associated with R. F. Lafferty & Co., Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Belz 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 September 16, 2024.
Unsuitability breach of fiduciary duty, misrepresntations of risk of trades in 2021 and 2022.
