Rowena Ruff, a broker and investment advisor associated with LPL Financial LLC (CRD# 6413), is facing a pending customer dispute filed on February 8, 2024. The complaint, lodged by a disgruntled investor, alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance. The investment in question is a […]
Todd Pilosi, a former broker and investment advisor at LPL Financial LLC, is currently facing allegations of unsuitable investment recommendations. According to a recent customer dispute filed on February 8, 2024, the customer alleges that an investment made in 2014, under the guidance of Pilosi, was unsuitable for their investment objectives and risk tolerance. The
Todd Pilosi of LPL Financial Facing Unsuitable Investment Allegation Read More »
Zachary Floberg, a broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has recently settled a customer dispute, according to FINRA CRD number 5135060. The client alleged that Floberg failed to follow instructions from November 16, 2023, to February 8, 2024, resulting in a settlement of an undisclosed amount related to debt
Diana Palmieri, a broker and investment advisor associated with VANDERBILT SECURITIES, LLC (CRD 5953) since January 27, 2009, is facing a pending customer dispute filed on February 8, 2024. The clients allege that investments made between 2014 and 2019 into non-traded REITs (Real Estate Investment Trusts) and BDCs (Business Development Companies) were unsuitable and illiquid.
Teddy Ezzell, a broker and investment advisor with LPL Financial LLC (CRD# 1527524), is facing allegations from customers who claim that an investment they purchased before moving their accounts to LPL was unsuitable for their investment objectives and risk tolerance. The customers filed a dispute on February 8, 2024, which was later closed with no
LPL’s Teddy Ezzell Faces Suitability Allegations, Haselkorn & Thibaut Investigates Read More »