Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey Sarosy (Sarosy), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sarosy 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 $50,000.00 on May 14, 2026.
It is alleged that the FA facilitated a QDRO related transfer of retirement assets, held outside of the FA\\u2019s broker-dealer, without verifying the amount owed resulting in loss of assets and potential growth.