Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Ragusa (Ragusa), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ragusa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $22,322.00 on September 24, 2020.
Claimant-naked owner alleges that certain alternative investments purchased for usufruct account were unsuitable. Activity period: 2/2015 – 9/2020.