Brian Hayden Solomon, of Encinitas, California, a stockbroker registered with Independent Financial Group LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $20,000.00 in damages based upon allegations that Solomon made the unsuitable investment recommendation of in non-traded real estate investment trusts or REITs when Solomon was associated with Independent Financial Group LLC. FINRA Arbitration No. 23-03302 (November 15, 2023).
This is not the only time that Solomon has been referenced in a customer initiated investment related dispute concerning Solomon’s conduct in the securities industry. FINRA Public Disclosure shows that Solomon was also referenced in a customer initiated investment related complaint that was settled on July 15, 2006, for $6,000.00 in damages based upon allegations that Solomon failed to disclose surrender charges and management fees in connection with the sale of variable annuities during the time that Solomon was associated with Sentra Securities.
Solomon has been associated with Independent Financial Group LLC in Encinitas, California as a stockbroker since March 18, 2005, and as an investment advisor representative since October 21, 2005.
