Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Orlando (Orlando), previously associated with Craft Capital Management LLC, has at least 6 disclosable events. These events include 6 tax liens, alleging that Orlando recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 20, 2024.
Without admitting or denying the findings, Orlando consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an examination of his member firm and a resulting investigation into the suitability of certain recommendations at it.
