RedFlags, Allegations and Complaints against David Lusso
Disclosure #1 for David Lusso
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- eventDate: 2/5/2002
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA:
- DocketNumberAAO:
- Initiated By: National Futures Association
- Allegations: I scratched a trade at the end of the day by selling it back to the broker that sold it to me. I didn’t know that he then put the trade in his personal account. I was fined $500.
- Resolution: Paid fine without admission of guilt
- SanctionDetails ::
- Sanctions: none
Should I file a FINRA complaint against brokers like David Lusso?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by David Lusso’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About David Lusso
What is David Lusso’s Central Registration Depository (CRD) Number?
Which firm is David Lusso associated with?
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Where is David Lusso located?
5251 W 116TH PL STE 300, LEAWOOD, KS, 66211
Where can I find more details about David Lusso’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/2881 to read a detailed report for NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Are there any disclosures, allegations or complaints filed against David Lusso?
Where can I download a detailed FINRA report for David Lusso?
Is it safe to do business with David Lusso?
We’re not sure. Please research David Lusso’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:43 pm
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