Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Randisi (Randisi), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Randisi 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 $142,000.00 on March 22, 2021.
Customer alleges sales of Franklin Square Investment Corp. and C shares mutual funds were unsuitable.