Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wendell Trapp (Trapp), previously associated with San Blas Securities LLC, has at least 8 disclosable events. These events include 8 customer complaints, alleging that Trapp 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 $638,052.00 on September 30, 2024.
Attorney for client alleges the financial advisor was supposed to invest client’s funds in a municipal bond earning 4.65%, but financial advisor made numerous unauthorized purchases and sent funds from client account to unknown parties. Client requests compensation related to Financial Advisor conduct.
