Articles Tagged with Todd Pilosi

AdobeStock_49363801-1-300x200According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Todd Pilosi was accused of borrowing a total of $150,000 from a customer while registered with RBC Capital. This occurred between 2009 and 2012. Allegedly, on four occasions between July 2009 and March 2012, there were checks given to Pilosi which were not documented. This is against securities rules and regulations. Todd Pilosi was terminated from LPL Financial after leaving RBC Capital. For this, he was suspended from the industry for four months and fined $5,000.

Mr. Pilosi was registered with Lehman Brothers, Salomon Smith Barney, Prudential Securities, Wachovia Securities, RBC Capital Markets in Fresno, California from May 2006 until July 2012 and LPL Financial in Fresno from July 2012 until October 2016. He has two customer disputes against him, one of which is currently pending. He is not currently registered within thei industry. Please call 312-332-4200 today to speak to an attorney about your Todd Pilosi losses. We may be able to help you bring a claim against RBC Capital in the arbitration forum on a contingency fee basis. The call is free with no obligation.

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