Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harvey Ross (Ross), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $710,695.00 on March 16, 2021.
Customer asserts claims for breach of fiduciary duty, breach of contract and\, negligence in connection with investments in discretionary account. 1/1/2017 to 12/31/2020.