Ian Greenblatt

There are Recent Customer Complaints with Broker Ian Greenblatt in Firm Capitol Securities Management, Inc.

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Greenblatt (Greenblatt), currently associated with Capitol Securities Management, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Greenblatt 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 $150,000.00 on January 15, 2025.

The client alleges that the advisor has been making excessive and high-risk trades in his account.

There are Recent Customer Complaints with Broker Ian Greenblatt in Firm Capitol Securities Management, Inc.

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Greenblatt (Greenblatt), currently associated with Capitol Securities Management, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Greenblatt 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 $150,000.00 on January 03, 2025.

The client alleges that the advisor has been making excessive and high-risk trades in his account.

Capitol Securities Broker Ian Greenblatt Sanctioned By Regulator Over Customer Disputes

February 4, 2019 | by Staff Attorney

According to BrokerCheck records financial advisor Ian Greenblatt (Greenblatt), currently employed by Capitol Securities Management, Inc. (Capitol Securities) has been subject to at least four customer complaints and one regulatory action. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Greenblatt’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments.

In September 2018 FINRA brought a regulatory action against Greenblatt where he consented to sanctions and findings that he settled a customer complaint away from his member firm. FINRA found that customers became dissatisfied with the performance of their brokerage account since their account had declined in value by over $170,000. FINRA found that after one of these customers complained verbally to Greenblatt about the losses they incurred Greenblatt did not report customer’s complaint to the firm and instead met with customers at their home to discuss their complaint. At that meeting, FINRA determined that Greenblatt wrote a personal check for $46,000 to the customers’ son in settlement of customers’ complaint.