Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Iris Israel (Israel), previously associated with Oppenheimer & Co. Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Israel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 07, 2024.
Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; Ponzi Scheme. From 2013 to 2016.
