Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bucceri (Bucceri), currently associated with Fortress Private Ledger, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bucceri 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 $25,000.00 on March 12, 2021.
Ms. [REDACTED] contends around 02/17/2021 CMIA purchased illiquid investments that carried a risk of loss of significant principal and that this fact was concealed from her. Plaintiff contends I failed to appropriately advise her of the risk of loss of significant principal.