Articles Posted in Finalis Securities LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samir Asaf (Asaf), currently associated with Finalis Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Asaf recommended unsuitable investments in different investment products including debt securities among other allegations…

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Azary (Azary), currently associated with Finalis Securities LLC / Third Lake Associates, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Azary recommended unsuitable investments in different investment products including…