Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Riordan (Riordan), previously associated with Wynston Hill Capital, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Riordan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 01, 2022.
Riordan failed to response to an Order to Show Cause and Order of Summary Suspension issued December 7, 2021.