Tag Archives: DFPG Investments Inc.

DFPG Investments Accused of Churning

August 31, 2017  |   Posted by :   |   Churning   |   0 Comments

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, […]

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