Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ceffalio (Ceffalio), previously associated with LPL Financial LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ceffalio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 23, 2024.
Customers allege that between 2012 and 2023 Ceffalio managed their accounts in an unsuitable manner and misrepresented the total value of claimants’ accounts.
