Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Romeo (Romeo), currently associated with Rnr Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Romeo 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 $115,000.00 on November 14, 2023.
Claimant asserts various causes of action relating to securities transactions and asserts damages of approximately $115,000. The respondents deny any allegations of wrongdoing and will prove before FINRA that the positions at issue in the claim were never recommended to Claimant, that she never held an account that purchased the positions at issue.