Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Ghiotto (Ghiotto), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ghiotto 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 $60,000.00 on October 07, 2020.
Client alleges breach of fiduciary duty and contract related to a managed account asset allocation change that occurred on, or about March 17, 2020.