Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Nadelman (Nadelman), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Nadelman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 28, 2021.
Verbal complaint that representative recommended unsuitable investments as well as borrowed money from client that was not disclosed to or approved by the firm.