Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karandos (Karandos), previously associated with Dinosaur Financial Group, L.l.c, has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Karandos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 07, 2022.
Without admitting or denying the findings, Karandos consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA.