Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reinstein (Reinstein), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reinstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $175,000.00 on April 06, 2020.
Reinstein was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; violation of FINRA rules; breach of contract; negligence; and negligent supervision.