Dennis Karjanis (CRD #: 5280862), a broker registered with National Securities Corporation, has multiple pending investor disputes, according to his BrokerCheck record, accessed on January 8, 2021. All these disputes allege suitability rule violations – keep reading to learn more.
FINRA requires that brokers only recommend investments that are suitable for their customers, taking into account factors like age, risk tolerance, and financial goals. Brokers must also abide by the rules of Regulation Business Interest. These rules require that brokers exercise reasonable skill, diligence, and care.
On November 22, 2020, a client alleged that Dennis Karjanis made unsuitable investment recommendations. The dispute is pending.
On October 21, 2020, a client alleged that Dennis Karjanis recommended unsuitable investments. The client is seeking $200,000; the dispute is pending.
On December 17, 2018, a client alleged that Karjanis made unsuitable investment recommendations and misrepresented certain securities. The client sought $50,000; the dispute settled for $20,000.
Dennis Karjanis has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 30 states.
Karjanis has registered at two firms:
- National Securities Corporation (CRD #: 7569)
- Olympia Asset Management (CRD #: 126331)
If Dennis Karjanis was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.