Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Nardozzi (Nardozzi), currently associated with Foreside Fund Services, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Nardozzi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 07, 2024.
Agent used his personal phone to conduct business outside of FTP’s approved communication channels.
