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Investor Alleges Victoria Pazzalia Recommended Unsuitable Investment

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
July 8, 2025 at 9:29pm

Victoria Pazzalia (CRD #: 5920806), a broker registered with Madison Avenue Securities, allegedly made an unsuitable investment recommendation, according to her BrokerCheck record, accessed on May 27, 2025. Investors may have also worked with her through McAdam. If you have questions about her alleged conduct as a broker, keep reading.

Investor Dispute

On February 21, 2025, an investor alleged that Victoria Pazzalia recommended an unsuitable investment in NP Skyloft DST. The client seeks $157,747.01 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles. Brokers must examine the information contained in these profiles, including the following characteristics:

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

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

Background Information

Victoria Pazzalia has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Victoria Pazzalia is a registered broker and a registered investment adviser in Virginia.

She has also worked for Purshe Kaplan Sterling Investments (CRD#:35747) and Voya Financial Advisors (CRD#:2882).

Kurta Law Can Help

If you worked with Victoria Pazzalia and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 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. 

 

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