Andrew Day is a California based securities broker. He has worked in the securities industry for twenty-three years. During his career, he has been registered with three different securities firms.
His registrations include; Citigroup Global Markets (1995-2009), TKG Financial (2009-2017), and Kovack Securities (2017-Present).
Andrew Day’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In September 2007 a customer alleged misrepresentation of closed-end funds. This case was settled for $12,000 in damages.
In November 2014, a customer alleged that Day made investment recommendations that were unsuitable given their financial situation and investment objectives. This case was settled for $50,000 in damages.
In August 2017, customers alleged unsuitable recommendations, fraud, and breach of fiduciary duty. This case was settled for $80,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Andrew Day, please contact Oakes & Fosher for a free and private consultation.