David Warg Best of Bethlehem Pennsylvania a stockbroker formerly employed by Oppenheimer & Co. Inc. is referenced in a customer initiated investment related complaint on August 18, 2017 where the customer sought $1,000,000.00 in damages supported by accusations that (1) unsuitable closed-end fund and stock transactions had been executed in the customer’s investment account (2) transactions were effected on an excessive basis (3) the customer’s investment instructions had been disregarded and (4) the customer’s signature had been forged on documents.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that on May 1, 2017, another customer filed an investment related complaint concerning Best’s activities in which the customer requested $30,000.00 in damages founded on allegations that the customer’s equity portfolio had been mismanaged and lacked supervision.
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