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Raleigh Galiano Allegedly Failed to Follow Instructions

Raleigh Galiano (CRD #: 2254402), a broker registered with LPL Financial, allegedly failed to follow instructions, according to his BrokerCheck record, accessed on January 24, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Pending Dispute

On November 22, 2022, an individual with Power of Attorney for her parents alleged that Raleigh Galiano acted against her instructions by allowing “improper” account transfers and facilitating the creation of new documents to terminate her power of attorney. This misconduct allegedly occurred between August 2016 and November 2022.

This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Raleigh Galiano has passed the following exams:

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

Raleigh Galiano is a registered broker in 11 states and a registered investment adviser in Louisiana and Texas.

He has also worked for the following firms:

  • Edward Jones (CRD#:250)
  • GNA Securities (CRD#:10465)
  • MML Investors Services (CRD#:10409)
  • H.D. Vest Investment Securities (CRD#:13686)

Kurta Law Can Help

If you worked with Raleigh Galiano 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 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. 

 

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