Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Vito Romeo (also known as Doughboy Romeo) [CRD: 1041846, East Meadow, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Romeo joined RNR Securities LLC on October 13, 1997, and R&R Financial Planners Inc. on November 5, 2007. Here’s an overview of William Romeo’s disclosures.
Specifically, on November 14, 2023, an RNR Securities LLC client filed FINRA Arbitration No. 23-03261 about William Romeo. Mainly, the client alleged misrepresentations, unsuitable trading, and breach of fiduciary duty. Because of this, the client allegedly sustained damages on non-traded REITs. Therefore, the client requested $115,000 in compensation from RNR Securities LLC or Romeo. This arbitration is pending a resolution.
Particularly, a client of JP Turner Co. LLC contested William Romeo’s sales practices by filing FINRA Arbitration No. 07-00565. Allegedly, Romeo recommended unsuitable convertible promissory notes. Supposedly, the securities broker also misrepresented important information concerning investments. For this reason, JP Turner Co. LLC opted to settle the matter on June 16, 2008, by compensating the client in the amount of $55,000.
Have you experienced losses because of William Romeo? If so, contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group helps investors throughout the country, works on a contingency fee basis, and advances all costs. Romeo and brokerage firms Romeo worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Christopher Wayne Dunlevy [CRD: 4909656, Flagstaff, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dunlevy has worked for Aspen Trail Wealth Management LLC since July 22, 2015. Keep reading to learn more about Dunlevy’s client dispute disclosures. Aspen Trail Client Accused Dunlevy Of Mismanagement Particularly, a […]
Investors potentially experienced sales practice violations by securities broker Jeremy Todd Lindquist [CRD: 3198807, Melbourne, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lindquist has been registered as a securities broker with MML Investors Services LLC since August 12, 2011, and as a financial advisor with the firm since February […]
Anthony J. Falco Jr. [CRD: 5125793, Wayne, Pennsylvania] is a securities broker whose BrokerCheck record contains disclosures that may concern investors who experienced losses. Falco has been registered with J. Alden Associates Inc. since March 10, 2021, and with Alden Investment Group since May 3, 2024. He was previously registered with MPB Wealth Management LLC […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com