Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hovanic (Hovanic), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Hovanic recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $181,500.00 on October 24, 2025.
Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025