Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Esses (Esses), currently associated with Snowden Account Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Esses recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 21, 2022.
Arbitration: \<char_lb_r>\, Claimant alleges that due to the FA negligence, at least $2,345,898.00 was fraudulently transferred from the Claimant’s accounts to accounts in an unrelated outside third party’s name. \<char_lb_r>\, \<char_lb_r>\, Litigation:Plaintiff alleges that contrary to their fiduciary duties of care, loyalty, good faith and disclosure, the FA and his wife assisted an unrelated outside third party hired by Plaintiff in misappropriating Plaintiff’s funds.