According to public records, David Guss, a former Investment Placement Group broker, has one customer complaint and one regulatory sanction. He allegedly purchased and sold unsuitable investments in Latin American government and corporate debt securities. He also “failed to develop and maintain a continuing and current education program for its registered persons and specifically failed to complete a training needs analysis, failed to develop a written training plan, and failed to implement a continuing education program in accordance with the firm’s assessment of its training needs and written training program.” For this he was censured and fined $2,500. These are both against securities laws. Guss was registered with Investment Placement Group in San Diego, California from July 1984 until March 2017 and has one customer dispute against him. He is currently not registered within the industry. Please call our Chicago-based securities law firm today if you suffered losses with David Guss. We may be able to help you bring a claim against his former firm for losses sustained. We take cases on a contingency fee basis only, so we only get paid if you recover. The call is free with no obligation. 312-332-4200.
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