Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Murray (Murray), previously associated with Commerce One Financial Inc., has at least 2 disclosable events. These events include 2 tax liens, alleging that Murray recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 22, 2025.
Respondent Murray failed to pay fines and/or costs of $4,878.14 in FINRA Case #2021072336101.
