Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aramis Guerin (Guerin), currently associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Guerin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.
Aramis Guerin was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.