Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Ezrilov (Ezrilov), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 tax liens, alleging that Ezrilov recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 24, 2024.
Without admitting or denying the findings, Ezrilov consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony requested by FINRA in connection to its investigation of allegations made on a Form U6 submitted by his member firm. The findings stated that Ezrilov was discharged from his firm for submitting succession plan documents to the firm containing a non-genuine signature.
