Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: David Warren Mesker

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Arbitration: claimant alleges that in september 2016, an unsuitable recommendation to sell a holding in the client's account was made. complaint: client alleged an inappropriate and unsuitable investment recommendation to enter a stop loss order which caused tax consequences after execution. (6/10/2016-9/14/2016)

Back