Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Dicker (Dicker), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicker 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 $200,000.00 on January 27, 2023.
Client alleges the RR sold all of the equities in her advisory portfolio which created a long term capital gains tax liability.