RedFlags, Allegations and Complaints against ROBERT RAFANO
Disclosure #1 for ROBERT RAFANO
- eventDate: 6/19/2007
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENTS ALLEGING BASED ON IMPROPER ADVICE AND FINANCIAL NEGLIGENCE PROVIDED IN 2006 THEY HAVE SUFFERED TAX PENALTIES.
- Damage Amount Requested: $5,000.00
- Settlement Amount: $13,253.74
- Arbitration Docket Number:
- Broker Comment: OUR REVIEW FOUND THE ADVISOR DID NOT PARTICIPATE IN THE IMPLEMENTATION OF THE INVESTMENT RECOMMENDATION TO EXERCISE THE CLIENT’S STOCK OPTIONS.
Should I file a FINRA complaint against brokers like ROBERT RAFANO?
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 ROBERT RAFANO’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 ROBERT RAFANO
What is ROBERT RAFANO’s Central Registration Depository (CRD) Number?
Which firm is ROBERT RAFANO associated with?
ROYAL ALLIANCE ASSOCIATES, INC.
Where is ROBERT RAFANO located?
317 RUES LANE, EAST BRUNSWICK, NJ, 8816
Where can I find more details about ROBERT RAFANO’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/23131 to read a detailed report for ROYAL ALLIANCE ASSOCIATES, INC.
Are there any disclosures, allegations or complaints filed against ROBERT RAFANO?
Where can I download a detailed FINRA report for ROBERT RAFANO?
Is it safe to do business with ROBERT RAFANO?
We’re not sure. Please research ROBERT RAFANO’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:49 am
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