Dan Edward Droeg, of Mesa, Arizona, a stockbroker currently registered with H. Beck, Inc., is the subject of an investment related complaint filed by a customer on November 18, 2016, where the customer sought $250,067.09 in damages supported by allegations that Droeg charged the customer excessive fees, misstated the value of the customer’s securities holdings, over-concentrated the customer’s assets in annuities, and made unsuitable investment recommendations to the customer between 2012 and 2016.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that a customer initiated investment related complaint regarding Droeg’s conduct was resolved on June 8, 2005, for $18,043.79 in damages founded upon accusations that he made mutual fund and equity indexed annuity recommendations to the customer that were not suitable considering the customer’s age and tolerance for risk.
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.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
