Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Raciti (Raciti), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raciti 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 $37,227.84 on July 03, 2020.
Clients allege that due to a miscommunication error by registered representative in October 2019, funds were not reallocated as intended after their partial rollovers from their 403(b) accounts were done.