Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Schwartz (Schwartz), previously associated with National Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Schwartz 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 $200,000.00 on August 12, 2021.
Attorney for clients claims investment strategy was not suitable.