Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Roditi (Roditi), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Roditi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $2,000,000.00 on February 20, 2024.
Plaintiffs alleged that they were not sufficiently informed of risks of positions following losses during March of 2020, that IAR was not sufficiently supervised, and that exceeding maximum drawdown objectives constituted a breach of contract.