Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker E Steinberg (Steinberg), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Steinberg 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 $2,500,000.00 on November 15, 2023.
Claimant asserts claims of failure to supervise, breach of fiduciary duty, breach of contract, fraud, and violations of FINRA Rules relating to investments in municipal bonds and two private equity investments, as well as the use of margin in connection with those investments. From 4/1/2017 to Present.