David W. Williams, of Dallas Texas, a stockbroker with WFG Investments, Inc., is subject to a pending customer dispute from March 14, 2016, in which the customer requested $2,780,000.00 in damages in connection with allegations against Williams of failing to conduct an adequate investigation into an investment, making misrepresentations to the customer, breaching his fiduciary duty, and making investment recommendations to the customer that were not suitable.
FINRA Public Disclosure records reveal that on January 27, 2015, Williams settled a customer dispute for $29,529.11 after the customer alleged that Williams breached his contractual obligations to the customer, and made recommendations which were unsuitable regarding investments.
Guiliano Law Group
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