Tag Archives: Steven Douglas Schisler

FINRA Investigates IFS Stockbroker For Unsuitable Investment Advice

March 18, 2021  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News   |   Comments Off on FINRA Investigates IFS Stockbroker For Unsuitable Investment Advice

Steven Douglas Schisler of Grass Valley California a stockbroker formerly registered with IFS Securities is the subject of a Financial Industry Regulatory Authority (FINRA) investigation where the regulator believes that disciplinary action should be pursued against Schisler for allegedly providing unsuitable investment recommendations to customers in violation of FINRA Rules 2010 and 2111(a). FINRA Case […]

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IFS Securities Stockbroker Investigated By FINRA

February 03, 2020  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Steven Douglas Schisler of Grass Valley California a stockbroker formerly employed by IFS Securities has been referenced in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on June 13, 2019 into accusations that the stockbroker failed to comply with FINRA Rules 2010 and 8210 by (1) attempting to condition a settlement of a customer […]

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IFS Securities Sued For Breach Of Fiduciary Duty

Steven Douglas Schisler of Grass Valley California a stockbroker currently registered with IFS Securities is referenced in a civil action brought in the Nevada County Superior Court of Nevada City California where the plaintiff sought restitution based upon allegations that while Schisler was associated with IFS Securities Inc. (1) fiduciary duties owed to the plaintiff […]

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