Dustin Paul Shafer, of Springfield, Illinois, a stockbroker currently registered with Money Concepts Capital Corp., has been named in a customer initiated investment related written complaint on April 10, 2017, in which the customer requested $75,000.00 in damages based upon allegations that Shafer made poor investment recommendations to the customer about real estate security products, and failed to return funds to the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on June 29, 2017, a customer filed an investment related written complaint involving Shafer’s conduct, in which the customer requested $15,364.80 in damages based upon allegations that Shafer, while associated with Chase Investment Services Corp., failed to apprise the customer of tax liabilities and penalties that the customer would incur by shifting funds from a fixed annuity contract to a managed investment account.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
