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Carolyn Pozzi Allegedly Recommended Poor Annuities

Carolyn Pozzi (CRD #: 1083038), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on August 30, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On June 12, 2024, an investor alleged that Carolyn Pozzi made poor annuity recommendations. 

Investors should know that this is the third investor dispute on her record. 

What is an Unsuitable Investment? 

FINRA Rule 2111, a.k.a. The Suitability Rule, requires brokers to tailor their investment recommendations to suit investors’ needs. 

Rule 2111 also requires brokers to consider the following investor characteristics: 

  • ge
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status
  • Financial goals

Investments that do not fit the criteria established by the investor profile may be unsuitable. Investors who rely on brokers for recommendations may recover their losses by pursuing FINRA arbitration.

Background Information 

Carolyn Pozzi has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 65 Uniform Investment Adviser Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

She is a registered broker in nine states and is a registered investment adviser in Florida, Georgia, and Texas. 

Kurta Law Can Help 

If you worked with Carolyn Pozzi and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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