Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronan Gaudario (Gaudario), previously associated with Voya Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gaudario 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 $100,001.00 on September 20, 2021.
Claimant alleges that in 2015 the representative improperly recommended investment in high risk, illiquid alternative investments, and misrepresented the investments as safe and providing a 6% return.