Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Laspaluto (Laspaluto), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laspaluto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 23, 2024.
The customer alleges that the Registered Representative made unsuitable recommendations, account mismanagement and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.