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Obsidian Financial Group Sued For Failure To Supervise

December 15, 2017 | Posted by : Guiliano Law Group | Boilerroom Sales, Failure To Supervise | 0 Comments

Michael Anthony Regina, of Lynbrook, New York, a stockbroker formerly registered with Obsidian Financial Group, LLC, is the subject of a customer initiated investment related arbitration claim, which settled for $14,000.00 in damages based upon allegations that Regina failed to create and maintain adequate supervision systems to detect and prevent violation of securities laws relating […]

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Obsidian Financial Group Sued For Failure To Supervise

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