Rocco James Lavista (Rocco Lavista) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Rocco Lavista | Goodman & Nekvasil P.A., May Recover Investor Losses
Rocco Lavista was a formerly licensed financial advisor with Arive Capital Markets, National Securities Corporation, and Aegis Capital Corp. According to Rocco Lavista’s CRD, two customer disputes have been filed alleging sales practice violations against Rocco Lavista.
Customer Dispute (2/4/2016): Allegations against Rocco Lavista are unsuitable recommendations, negligence, breach of fiduciary duty, and misrepresentation. This customer dispute settled for $85,000.
Customer Dispute (10/30/2015): Allegations against Rocco Lavista are unsuitable investment recommendations, unauthorized trading, unsuitable use of margin, and churning. This customer dispute settled for $185,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost any money on investments with Rocco Lavista, you may be able to recover your losses. If you lost money on investments with Rocco Lavista and believe that 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 Rocco Lavista’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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Rocco Lavista 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 2/5/2020 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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