According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hicks (Hicks), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks recommended unsuitable investments in different investment products including debt securities among other…
The investment attorneys of Gana Weinstein LLP are investigating regulatory complaints filed by The Financial Industry Regulatory Authority’s (FINRA) against brokerage firm Finance 500, Inc. (Finance 500) and its employees including William Watson, Robert Hicks, Geoffrey Schiffrin, Paul Savage (Disciplinary Proceedings Nos. 2013038091902, 2013036837802). The complaints largely focus on allegations…
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