Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sherwin Sargeant (Sargeant), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one tax lien, alleging that Sargeant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 05, 2024.
Without admitting or denying the findings, Sargeant 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 its investigation into his involvement with undisclosed OBAs, including those potentially relating to crypto assets.
