Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Obrien (Obrien), previously associated with PHX Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 $100,000.00 on May 22, 2024.
Client alleged rr May have overconcentrated investments in private equity. RR recently passed away.