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WARNING! Impending Investigation–ROBERT TRICARICO and LPL FINANCIAL

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04
May

WARNING! Impending Investigation–ROBERT TRICARICO and LPL FINANCIAL

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Robert Tricarico and LPL Financial

Have you lost money with financial advisor Robert Tricarico from Westport, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert Tricarico.  FINRA barred Tricarico from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating allegations that he converted or stole money from clients.  Robert Tricarico was also terminated by his brokerage firm, LPL Financial, in December 2014 for these allegations.

Robert Tricarico was a financial advisor and registered representative of LPL Financial from May 2011 to December 2014.  He worked at a branch office in Westport, Connecticut.  Tricarico has been the subject of at least three customer complaints, a bankruptcy, and two judgments or liens.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented over one thousand investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we currently and in the past have represented investors in Connecticut.  We also currently and in the past have represented numerous investors against LPL Financial.  If you have lost money with Robert Tricarico and LPL Financial and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view:  Tricarico FINRA AWC

Click to view:  Tricarico BrokerCheck 5.1.15

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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