Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Hofstein (Hofstein), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hofstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on October 30, 2023.
The Claimants allege that the financial professional sold them an alternative investment that was unsuitable.