Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Hayden Solomon (CRD: 1715160, Encinitas, California). Solomon has worked in the financial industry for 37 years and has been registered with Independent Financial Group LLC since 2005.
Recent disclosures reveal concerns regarding Solomon’s conduct, including allegations related to the suitability of investments and failure to disclose investment fees.
Specifically, on November 20, 2023, a client of Independent Financial Group LLC, filed an arbitration claim with FINRA (Arbitration No. 23-03302) alleging that an investment recommended by Solomon was unsuitable and not aligned with the client’s objectives and risk tolerance. The dispute involved a non-traded REIT investment (NorthStar), and the client sought $20,000 in damages. Evidently, the client later withdrew the claim. Solomon and his firm maintained that the investment was part of a broader financial strategy.
Particularly, on December 23, 2005, a client of Sentra Securities Corporation alleged that Solomon failed to disclose investment fees associated with variable annuities. The firm settled the dispute for $6,500. Solomon contended that he was not the representative on the client’s account and that the firm settled the case without his involvement.
Looking for more information about Brian Solomon? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group works on a contingency basis, advances all costs, and assists clients throughout the United States with recovering losses from sales practice misconduct. Solomon and the firms he has worked for deny accusations of sales practice violations.
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