Td Private Client Wealth LLC Tag Archives

There are Recent Customer Complaints with Broker Joseph Pietrafitta in Firm Td Private Client Wealth LLC

November 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Pietrafitta (Pietrafitta), currently associated with Td Private Client Wealth LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pietrafitta 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 $600,000.00 on September 14, 2022.

Customer complained about performance of the investment portfolio and alleged various\, claims against TDPCW. Representative was not a named party. TDPCW denied all\, allegations and settled the matter without admitting any liability or wrong doing.

Broker Franklin Lainez in Td Private Client Wealth LLC Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Lainez (Lainez), currently associated with Td Private Client Wealth LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lainez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $10,000,000.00 on April 04, 2025.

Unlawfully transferred funds for the purchase of property

Broker Chi Mak in Td Private Client Wealth LLC Firm Has Customer Complaint

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chi Mak (Mak), currently associated with Td Private Client Wealth LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mak 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 $200,000.00 on December 06, 2024.

Respondents took advantage of Claimant’s lack of sophistication and understanding, and sold Claimant high-commission, complex, long-term, and risky alternative investments.