Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: William Sideny Friedman

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Friedman was named in a customer complaint that asserted the following causes of action: elder abuse; unjust enrichment; investments in unsuitable securities; excessive trading; unauthorized trading; misrepresentation and material omissions of fact; breach of fiduciary duty; breach of contract; securities and common law fraud; negligence; and violations of other federal and state securities laws and financial industry rules and regulations.

Back