Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carol Greenwald (Greenwald), currently associated with Potomac Investment Company, has at least one disclosable event. These events include one tax lien, alleging that Greenwald recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 07, 2023.
A long time client moved to Maine. Potomac and Greenwald initiated seven trades in the client’s account between April 2023 and July 2023 before applying for registration in Maine.
