Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Incorvia (Incorvia), previously associated with Henley & Company LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Incorvia 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 $1,276,996.00 on October 05, 2022.
CLAIMANTS ALLEGE RESPONDENTS FAILED TO PROVIDE REASONABLE, ADEQUATE AND MEANINGFUL SUPERVISION OVER PHILIP INCORVIA’S BRANCH OFFICE AND ACTIONS IN MATTERS OF INVESTMENT SUTABILITY, BREACH OF FIDUCIARY DUTY, AND FRAUD