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Investor Alleges Andrea Ratoza Did Not Follow Instructions

Aug 29, 2022 Investor Disputes

Andrea Ratoza (CRD #: 6861337), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was the subject of a recent dispute, according to her BrokerCheck record, accessed on August 5, 2022.  If you have questions about her conduct as a broker, read on.

Investor Dispute

On May 27, 2022, an investor alleged that Andrea Ratoza failed to follow their instructions to move money out of the market at a certain threshold. This dispute was denied by the firm.

Investors should know, however, that firms don’t need to permit an outside review before denying a dispute. Investors may still be able to recover their funds by seeking out FINRA arbitration following a denial.

FINRA Rule 2010

Failure to follow instructions violates FINRA Rule 2010, which holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Andrea Ratoza has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Andrea Ratoza is a registered broker in 30 states and the District of Columbia. She is also a registered investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Andrea Ratoza and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.