FINRA Bars Beverly Hills Financial Advisor Following Unsuitability Allegations
Ex-Oppenheimer and Hilltop Securities broker Dennis Phillip Ayre is barred by the Financial Industry Regulatory Authority (FINRA) beginning January 28, 2022. The Los Angeles financial advisor refused to testify in the self-regulatory organization’s (SRO’s) probe into suitability allegations.
Ayre, who most recently was a Hilltop Securities broker, worked as an Oppenheimer & Co. broker from 2014 to 2017. He has 15 disclosures on his BrokerCheck record; 14 are customer disputes. In five pending disputes, the claimants are collectively pursuing around $7.6M in damages. The remaining investor cases were settled for over $1.16M.
The post Customers of Ex-Oppenheimer Broker Dennis Ayre Are Requesting Around $7.6M in Damages appeared first on Investor Lawyers Blog.
from Texas Bar Today https://ift.tt/kZpDmr9
via Abogado Aly Website
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