Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruben Frezzotti (Frezzotti), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frezzotti 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 $5,000,000.00 on July 22, 2021.
Claimants allege FA recommended unsuitable investments in an offshore fixed annuity whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 9/17/2007 to Present.