There are options for customers of Tobin & Company Securities LLC broker David Gunderson (CRD# 6191146), who suffered investment losses. He has been registered with Tobin & Company Securities LLC in Charlotte, North Carolina, from 2014 to 2019.
In November 2024, the Texas State Securities Board issued a letter of reprimand and an administrative fine after he failed to update his U4 within 30 days for two separate disclosures.
David Gunderson Customer Complaints
He has been the subject of four customer complaints, according to his CRD report:
September 2021. “Claimant alleges that representative made false and misleading statements in purportedly selling an unsuitable loan away from the firm.” The customer is seeking $1,500,000 in damages, and the case is currently pending. The complaint took place while he was registered with Tobin & Company Securities LLC.
August 2021. “Fraud and Common law torts regarding private placement investment for medical facility/EB-5 project.” The case is currently pending. The complaint took place while he was registered with US Freedom Capital Advisors LLC.
July 2021. “Claimants allege that representative made false and misleading statements in selling an allegedly unsuitable EB-5 private placement investment.” The customer is seeking $3,500,000 in damages, and the case is currently pending. The complaint took place while he was registered with Tobin & Company Securities LLC.
July 2021. “Fraud and Common law torts regarding loan for medical facility.” The case is currently pending. The complaint took place while he was registered with US Freedom Capital Advisors LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Tobin & Company Securities LLC may be liable for investment or other losses suffered by David Gunderson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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