Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Cristiano (Cristiano), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cristiano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 25, 2023.
Time Frame: November 22, 2022 – November 23, 2022 What were the allegations against theindividual? The client alleges her former Financial Advisor did not have her best interest inmind regarding the activity from the sales of the Mutual Funds and UIT purchases. The allegeddamages are estimated to be in excess of $5,000.00