Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Trotta (Trotta), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trotta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 11, 2021.
Customers alleged that income benefit rider of variable annuity issued in November 2006 was misrepresented, and sought restoration of income payments.