Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Arvanites (Arvanites), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arvanites 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 $15,000.00 on March 22, 2021.
Client alleges that the Financial Advisor failed to follow the Client’s instructions to enter an order for the sale of an equity position as a stop limit order.