oreide Law Group has been contacted by investors who were allegedly sold unsuitable investments presented by broker, TRAWNEGAN GALL (CRD#: 6266415) currently registered with WEALTHFORGE SECURITIES, LLC of Orange, California.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s Website, TRAWNEGAN GALL has three disclosures on his CRD report. Two of the disclosures are “Customer Disputes.”
On November 15, 2019, there was a dispute filed against Gall which is currently pending. The allegations, according to the FINRA report are, “Failure to conduct due diligence, conflict of interest, negligence, breach of fiduciary duty, and breach of contract. Activities leading to the allegations occurred between October 2014 and July 2015.” The damage amount requested is $571,193.00. In the broker comments listed, the respondent denies the allegations.
On October 9, 2019, there is also another pending dispute filed against TRAWNEGAN GALL, on his FINRA BrokerCheck. These allegations are, “Negligence; suitability; negligent misrepresentation and omission; intentional misrepresentation and omission; fraud; breach of fiduciary duty; failure to supervise; violations of California Securities Act; control person liability; breach of FINRA Rules; breach of contract ; loss of investment opportunity.” The damage amount requested in this dispute is $693,123.29. Also, in the broker comment for this dispute, the respondent denies the allegations.
According to FINRA’s BrokerCheck, TRAWNEGAN GALL has been in the securities industry for six years and was listed with three firms. He has been listed with the following firm since November 3, 2019:
WEALTHFORGE SECURITIES, LLC
1 City Boulevard West Suite 870
Orange, CA 92868
TRAWNEGAN GALL was previously listed with:
03/21/2019 – 11/01/2019 CABOT LODGE SECURITIES LLC – ORANGE, CA
11/20/2013 – 03/22/2019 SANDLAPPER SECURITIES LLC – ORANGE, CA
If you’ve experienced investment losses due to the actions or recommendations of TRAWNEGAN GALL currently listed with WEALTHFORGE SECURITIES, LLC of Orange, CA, and previously listed with SANDLAPPER SECURITIES LLC of Orange, CA, contact Soreide Law Group and speak to a lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis—no fee if no recovery.