Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Dellaporta (Dellaporta), previously associated with B.b. Graham & Company, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Dellaporta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 14, 2021.
Without admitting or denying the findings, Dellaporta consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into Dellaporta’s involvement in an outside business activity.