Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Baroncini (Baroncini), currently associated with LPL Financial LLC, has at least 11 disclosable events. These events include 11 customer complaints, alleging that Baroncini 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 $90,000.00 on June 20, 2024.
Customer alleges that representative failed to supervise another investment adviser under his management who allegedly employed an unsuitable trading strategy. Time period April 2019 to May 2020.