Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Greenman (Greenman), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Greenman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 14, 2022.
Client alleges RR made unsuitable and unauthorized trades in her father’s brokerage account.