Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felix Bartolomei (Bartolomei), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bartolomei 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 $100,001.00 on December 29, 2020.
Client alleges unsuitability, overconcentration, failure to supervise, scienter, aiding and abetting, fraudulent concealment, violations of securities laws and rules, fraud, recklessness, negligence, breach of fiduciary duties, and violations of PR contract law (Puerto Rico bonds and closed-end funds). Includes request for punitive damages, rescission, interest, fees, costs, and disgorgement of commission and fees.