Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Disilvio (Disilvio), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Disilvio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on June 06, 2022.
Claimant alleges his mother took inappropriate withdrawals from a custodial account held for Claimant’s benefit. Claimant’s mother filed a third party complaint alleging that to the extent the withdrawals were inappropriate and the Firm approved the withdrawals.