Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cohen (Cohen), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one regulatory event, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on June 05, 2023.
Without admitting or denying the findings, Cohen consented to the sanction and to the entry of findings that he declined to produce information or documents requested by FINRA during the course of its investigation that originated from allegations regarding the sale of securities through one of his prior OBAs in an arbitration matter disclosed on his Form U4.