Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Audia (Audia), currently associated with Vcs Venture Securities, has at least one disclosable event. These events include one customer complaint, alleging that Audia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on November 09, 2023.
CHURNING, NEGLIGENCE & UNSUITABILITY, UNAUTHORIZED TRADING, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, UNJUST ENRICHMENT, NEGLIGENT MISREPRESENTATION AND OMISSIONS, LOST OPPORTUNITY DAMAGES AND PUNITIVE DAMAGES. THE CLAIMANT’S STATEMENT OF CLAIM AS PREPARED BY CLAIMANT’S COUNSEL DOES NOT PROVIDE DATES WHEN THE ACTIVITIES TOOK PLACE.