Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Brunin (Brunin), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Brunin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $210,000.00 on October 14, 2024.
The client feels that their accounts had a concentration in equities, which posed significant risk to their portfolio, particularly given their conservative investment objectives. They feel that market timing strategies were employed which were inappropriate for their goals. They are seeking resolution in the amount of $210,000 for this issue.
