Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Arons (Arons), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arons 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 $315,000.00 on March 16, 2021.
Claimants allege the RR violated his suitability obligation and was negligent in recommending investments in three private equity ventures.