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Paul Tramontozzi Allegedly Executed an Unauthorized Transaction

Paul Tramontozzi (CRD #: 4709307), a broker registered with LPL Financial, allegedly executed an unauthorized investment transaction, according to his BrokerCheck record, accessed on May 17, 2023. Investors may have also engaged his services through Stratos Wealth Partners. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On April 4, 2023, an investor filed a dispute alleging that Paul Tramontozzi executed an unauthorized investment transaction. This dispute was denied by the firm.

However, investors should be aware that firms don’t need to permit an external review before denying a dispute. Investors may be able to recover their losses by pursuing FINRA arbitration after a denial.

FINRA Rule 3260

FINRA Rule 3260 limits brokers to exercising their trading discretion in pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm.

Background Information

Paul Tramontozzi has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Paul Tramontozzi is a registered broker in Florida, New Jersey, New York, and Rhode Island. He is also a registered investment adviser in New York and Ohio.

He has also worked for the following firms:

  • Commonwealth Financial Network (CRD#:8032)
  • C&C Trading (CRD#:39302)
  • Charlton Specialist Partners (CRD#:124655)

Kurta Law Can Help

If you worked with Paul Tramontozzi 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.