Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincent La Cava (La Cava), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that La Cava recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.
Claimant alleges that Respondents recommended him unsuitable securities, including Amira Nature Foods, that were overly concentrated in certain product types and/or industries.