Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicola Caporaso (Caporaso), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caporaso 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 $50,000.00 on July 27, 2021.
The complainant alleges that in or around 2014, the rep made unsuitable recommendations and recommended investments that were not consistent with the complainant’s risk tolerance. She further alleges that the rep forged her signature and falsified her insurance application.