Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanford Simmons (Simmons), previously associated with Saxony Securities, Inc., has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Simmons recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 17, 2024.
Without admitting or denying the findings, Simmons consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an ongoing investigation that originated from a cause examination.
