Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Fino (Fino), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fino 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 $5,343.90 on June 14, 2025.
Client alleges misrepresentation regarding the June 14, 2025 purchase of FT Unit 12241 in the amount of $499,994.04. Client requests return of funds.