Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Romano (Romano), currently associated with Financial Northeastern Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Romano 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 $75,000.00 on September 14, 2020.
Unsuitability, misrepresentation/omission, failure to supervise, breach of fiduciary duty