Dominic Tropiano – Financial Advisor/Broker Dominic Tropiano Barred from Securities Industry | Recover Losses

Dominic Tropiano – Financial Advisor/Broker Dominic Tropiano Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Dominic Tropiano CRD #4761462

Dominic Tropiano was a previously licensed financial advisor/broker with Key Investment Services LLC. FINRA reports that Dominic Tropiano was barred from the securities industry indefinitely in May 2019

According to FINRA Allegations:

Tropiano consented to the sanction and to the entry of findings that he recommended transactions involving non-traditional exchange-traded funds (ETFs) to customers, without having a reasonable basis to believe those transactions were suitable for anyone, due to his lack of understanding of the unique risks, terms and features of the products. The findings stated that Tropiano’s recommendations involving non-traditional ETFs were also unsuitable for those customers in light of their investment profiles, which included conservative investment objectives. The findings also stated that Tropiano caused non-traditional ETF transactions to be placed in customers’ securities accounts without the customers’ knowledge or consent, and in the absence of written or oral authorization for him to place such trades. The findings also included that Tropiano was not properly registered with FINRA while engaging in the securities business of a firm by soliciting the purchase and sale of non-traditional ETFs in the accounts of firm customers.

Goodman & Nekvasil, P.A. May Recover Investor Losses

If you lost money on investments with Dominic Tropiano and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Dominic Tropiano’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Dominic Tropiano and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 9/1/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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