Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Petraglia (Petraglia), previously associated with Securities America, INC., has at least one disclosable event. These events include one customer complaint, alleging that Petraglia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 30, 2020.
The claimant alleges violation of FINRA Rule 2110 and 2111, Negligence, Misrepresentation and omissions of material facts and breach of fiduciary duty.