Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Levine (Levine), previously associated with First Financial Equity Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levine recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 30, 2021.
Claimant alleges, FA solicited outside investment opportunities not authorized by firm – January 2015 to July 2018