Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Cavaliere (Cavaliere), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cavaliere 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 $300,000.00 on January 25, 2024.
Customers allege representative made unsuitable investment recommendations during the time period 2013-2018.