Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Payne (Payne), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Payne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 20, 2024.
Time Frame: July 16th, 2020 to February 20, 2024\, Allegation Language – The client alleges his financial advisor had shares journaled which were subsequently sold to another account without his authority.