Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Tritico (Tritico), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tritico 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 $20,667.00 on June 30, 2021.
Client alleges RR recommended a surrender of two annuities that resulted in penalties and tax consequences that she was unaware of until after the surrender was completed.