Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Travascio (Travascio), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Travascio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 19, 2024.
Customers alleges that investments made in 2014 were unsuitable for the customers’ investment objectives and risk tolerance.