Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Farbizio (Farbizio), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farbizio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 05, 2020.
The client states she met with the representative on December 13, 2018 and discussed her account portfolio. The client indicates that her accounts were redistributed that day without her knowledge to a more conservative portfolio than she previously had with her employer plan accounts.