RedFlags, Allegations and Complaints against RICHARD NOEL TROTTA
Disclosure #1 for RICHARD TROTTA
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- eventDate: 5/28/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: The client alleged the RiverSource RAVA 5 Advantage Variable Annuity purchased in September 2016 was unsuitable, and the advisor executed transactions in her Ameriprise Brokerage account without her authorization.
- Damage Amount Requested: $54,000.34
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like RICHARD NOEL TROTTA?
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 RICHARD NOEL TROTTA’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 RICHARD NOEL TROTTA
What is RICHARD TROTTA’s Central Registration Depository (CRD) Number?
Which firm is RICHARD NOEL TROTTA associated with?
THURSTON SPRINGER FINANCIAL
Where is RICHARD TROTTA located?
11000 PROSPERITY FARMS ROAD SUITE 300, PALM BEACH GARDENS, FL, 33410
Where can I find more details about RICHARD TROTTA’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/8478 to read a detailed report for THURSTON SPRINGER FINANCIAL
Are there any disclosures, allegations or complaints filed against RICHARD NOEL TROTTA?
Where can I download a detailed FINRA report for RICHARD TROTTA?
Is it safe to do business with RICHARD NOEL TROTTA?
We’re not sure. Please research RICHARD TROTTA’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:48 am
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