Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rolf Ellingsen (Ellingsen), currently associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ellingsen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.
Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.