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.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
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