Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Korn (Korn), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Korn 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 $41,298.68 on March 20, 2024.
The customer alleges they received incorrect information from a firm employee regarding use of a vanguard check to remit irs payment, resulting in penalties and interest, and seeks reimbursement.