Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Romano (Romano), previously associated with Arete Wealth Management, LLC, has at least 16 disclosable events. These events include 16 customer complaints, alleging that Romano 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 $100,000.00 on December 02, 2024.
Client alleges unsuitable investment recommendation.
