Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Appolito (Appolito), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Appolito 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 $300,000.00 on September 15, 2022.
Breach of fiduciary duty, unsuitability, material misrepresentations and omission, breach of contract, violation of California securities law, violation of FINRA rules 2010, IM-2310-2, and 2020.