Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Dalewitz (Dalewitz), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dalewitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on December 12, 2023.
Statement of claims alleges that investments were not in the best interest of the customer.