One or more investors apparently complained about securities broker Victoria Thu-Van Pazzalia (also known as Vicky Pazzalia, Victoria Nguyen, and Vicky Nguyen) [CRD: 5920806, Vienna, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pazzalia worked for McAdam LLC beginning October 3, 2014, and for Madison Avenue Securities LLC from January 3, 2025. She also worked with Purshe Kaplan Sterling Investments from October 3, 2014, until December 31, 2024. See the following information to learn more about the pending dispute involving her conduct at one of these firms.
Notably, on February 11, 2025, a Purshe Kaplan Sterling Investments client filed FINRA Arbitration No. 25-00347 about Victoria Pazzalia. Mainly, the client alleged that Pazzalia made unsuitable recommendations relating to an investment in NP Skyloft. Because of this, the investor supposedly sustained damages involving real estate securities. Therefore, the client requested $157,747.01 in compensation from Purshe Kaplan Sterling Investments or Pazzalia. It appears that this arbitration is pending a resolution.
When a broker gives unsuitable advice in connection with real estate investment trust (REIT) products, it sometimes means the broker recommended investments that didn’t match the client’s financial situation, investment goals, or risk tolerance. These recommendations may involve complex or illiquid real estate securities that are inappropriate for the client’s needs. Unsuitable advice often results in substantial financial losses, especially when clients aren’t fully informed about the risks or characteristics of the product.
Do you need clarification on any investment losses relating to Victoria Pazzalia? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery of your losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Pazzalia and brokerage firms Pazzalia worked for deny accusations of sales practice violations.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com