Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Cellini (Cellini), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one tax lien, alleging that Cellini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 24, 2024.
Without admitting or denying the findings, Cellini consented to the sanctions and to the entry of findings that he certified to the State of New York that he had personally completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed that continuing education on his behalf.
