Nir Regev Kragnes of Saint Louis, Missouri, a stockbroker registered with DFPG Investments LLC, was the subject of a customer initiated investment related complaint that was settled on July 17, 2023, for $278,680.61 in damages based upon allegations that Kragnes made unsuitable recommendations in illiquid real estate securities during the time that Kragnes was associated with…
Steven LaMar Nielsen, of Gilbert, Arizona, a stockbroker formerly registered with DFPG Investments, Inc., is the subject of a customer initiated investment related complaint, which settled on July 6, 2017, for $4,500.00 in damages grounded on allegations that Nielsen effected unsuitable transactions in the customer’s account, and churned the customer’s investment portfolio of mutual funds,…