According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Akshay Niranjan (Niranjan), previously associated with Barclays Capital Inc., has at least one disclosable event. These events include one tax lien, alleging that Niranjan recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jin Lim (Lim), previously associated with Barclays Capital Inc., has at least one disclosable event. These events include one tax lien, alleging that Lim recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Matthew Higgins (Higgins) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Higgins was employed by Barclays Capital Inc.…
