Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Prince (Prince), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Prince 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 $140,000.00 on March 22, 2024.
Suitability/negligence. 2021