Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Riposo (Riposo), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Riposo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 25, 2024.
Breach of regulatory requirements, breach of fiduciary duty, negligence and gross negligence and breach of contract.