Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Ogan (Ogan), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ogan 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 $40,000.00 on May 14, 2020.
Claimant alleges unauthorized trading, negligence, breach of fiduciary duty and breach of contract in relation to the purchase of a UIT. From 1/22/2020 to 1/29/2020