Luke Gandolfi Allegedly Misled Investor
Luke Gandolfi (CRD #: 6048690), a broker registered with NYLIFE Securities, was recently the subject of an investor dispute, according to his BrokerCheck record, accessed on November 19, 2022. If you want to know more about his conduct as a broker, keep reading.
On August 17, 2022, an investor alleged that Luke Gandolfi misled her during the sale of a variable annuity originally purchased in September 2021. This dispute was denied by the firm.
Investors should be aware, however, that firms can deny disputes without an outside review. Investors can still seek out FINRA arbitration following a denial and may be able to recover their losses.
FINRA Rule 2020
FINRA Rule 2020 bans the use of deceptive, manipulative, or otherwise fraudulent tactics to influence the purchase or sale of securities. The misrepresentation or omission of information related to investments, such as their requirements, limitations, or other features violates this rule.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Luke Gandolfi has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
Luke Gandolfi is a registered broker in Maine, Massachusetts, and New Hampshire.
Kurta Law Can Help
If you worked with Luke Gandolfi and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.