Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Azary (Azary), currently associated with Finalis Securities LLC / Third Lake Associates, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Azary 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 $100,000.00 on October 03, 2024.
Claimant [REDACTED] has alleged the following in connection with his purchase of interestsin Strategic Energy Assets VIII Access Fund, LLC: (1) breach of contract; (2) generalnegligence; (3) breach of fiduciary duty; and (4) violation of California Corporations Code.