Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Ross (Ross), currently associated with the O.n. Equity Sales Company, has at least one disclosable event. These events include one customer complaint, alleging that Ross recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on September 18, 2020.
Customer alleges representative failed to properly complete death claim form resulting in forfeit of lifetime income option