Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Fineman (Fineman), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Fineman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 18, 2022.
Respondent Fineman failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.