Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Tarjanyi (Tarjanyi), previously associated with Trustmont Financial Group, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Tarjanyi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 05, 2021.
Without admitting or denying the findings, Tarjanyi consented to the sanction and to the entry of findings that he provided inaccurate information regarding a customer’s execution of an annuity partial withdrawal form during on-the-record testimony taken by FINRA after it opened an examination of his sales practices. The findings stated that at that time, Tarjanyi’s member firm had reported that customers complained about him, alleging, among other things, forgery and falsification of information on an insurance application and annuity withdrawal forms.