Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent Egan (Egan), currently associated with Benjamin F. Edwards & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $5,000.00 on January 12, 2021.
On January 12, 2021 client questioned why she was seeing cash in her account and not security ARKK as she gave instructions to purchase the security on December 17, 2020.