Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Friedman (Friedman), previously associated with Pinnacle Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.
Unsuitability, Common Law Fraud, Breach of Fiduciary Duty, Negligent Supervision, Breach of Contract.