Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Petrizzo (Petrizzo), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Petrizzo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 07, 2021.
On July 7, 2021, the Representative’s former broker-dealer agency filed on his behalf a non-resident insurance agent application that was submitted to the Wisconsin Commissioner of Insurance (COI). Per an Administrative Action, on October 7, 2021 the Wisconsin COI denied the application on the basis that (i) it was not completed in full, and (ii) a COI request for information was not responded to in a timely manner.