Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roman Gadaskin (Gadaskin), currently associated with the Oak Ridge Financial Services Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gadaskin 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 $5,000.00 on May 15, 2024.
Client alleges that he was never fully informed of how the Market Participation CD worked or the tax implications. Client contacted the BD on 4/15/24 and spoke to the CCO. At that time, he did not make any claims or mention a dollar amount. The CCO advised the client she would review the matter and call him back. The CCO called the client on 4/18 with additional information, including the fact that the client would be receiving his original investment back at maturity. The client was concerned about tax implications even though he was not receiving interest payments. The matter was referred to the CEO and EVP. Over the next few months, efforts were made to work with the client and his CPA by providing resources and reference materials addressing his tax filing issues. Ultimately, a mutual decision was reached to accept a settlement offer. The settlement was accepted on 8/21/2024.