Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rustic (Rustic), currently associated with Commonwealth Financial Network, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rustic recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 23, 2024.
Daughter of deceased client alleging advisor breached his fiduciary duty when he allowed the decedent to sign a change of beneficiary form, changing the beneficiary of several IRAs from the daughter to the decedent’s wife.