Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Mittag (Mittag), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Mittag 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 $450,000.00 on February 08, 2021.
Claimant asserts claims of breach of fiduciary duty, unsuitability, violations of finra rules, violation of section 10b of the exchange act, negligent misrepresentations, violations of 93a m.g.l. S.9, failure to supervise and negligent supervision arising from allegedly unsuitable investments and excessive trading in her account. From 2013 to 2020.