Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Spiccati (Spiccati), previously associated with Bb & t Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Spiccati 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 $70,000.00 on June 24, 2021.
Claimant alleges the financial professional recommended he invest in a REIT and a Business Development Company which were unsuitable for his investment portfolio.