Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricky Ferrara (Ferrara), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ferrara 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 $100,000.00 on September 02, 2021.
Claimant alleges that certain investments purchased for his portfolio are unsuitable. Activity period 7/2014 – 9/2/2021.