Were you the victim of former Sandlapper Securities, LLC broker Trawnegan Gall (CRD# 6266415)? Gall has been registered with Wealthforge Securities, LLC in Orange, California since November 2019. Previously, Gall was registered with Cabot Lodge Securities LLC in Orange, California from March to November 2019. Prior to that, Gall was registered with Sandlapper Securities, LLC in Orange, California from 2013 to 2019.
Gall has been the subject of two customer complaints in 2019, according to his CRD report:
- November 2019. “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 customer is seeking $571,193 in damages and the case is currently pending. The complaint took place while Gall was registered with Sandlapper Securities LLC and was regarding private securities.
- October 2019. “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 customer is seeking $693,123.29 in damages and the case is currently pending. The complaint took place while Gall was registered with Sandlapper Securities and was regarding direct investments.
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, Sandlapper Securities, LLC may be liable for investment or other losses suffered by Gall’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.