Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Granata (Granata), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Granata 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 $995,797.00 on January 18, 2022.
Angela Granata was a Subject Of the customer’s complaint against her member firm and other named respondents that asserted the following causes of action: violations of FINRA Rule 2110, violations of FINRA Rule 2111: Recommending and Selling Securities Without Adequate Due Diligence and Without a Reasonable Basis, negligence, misrepresentations and omissions of material facts, breach of fiduciary duty, failure to supervise, and respondeat superior.