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Investor Alleges Tyler Tognarine Failed to Fully Inform Them About Annuity

Tyler Tognarine (CRD #: 7051385), a broker registered with Pruco Securities, allegedly failed to properly inform a client, according to his BrokerCheck record, accessed on March 22, 2023. Investors may have also engaged his services through Prudential Financial Planning Services. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On January 27, 2023, an investor alleged that Tyler Tognarine failed to disclose all the facts concerning the purchase of an annuity as a retirement plan. This dispute was denied by the firm.

However, investors should know that firms don’t need to allow an outside review before denying a dispute. Investors can still pursue FINRA arbitration after a denial and may be able to recover their losses.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence investors’ decisions. Misrepresenting or omitting information about an investment’s features, risks, or potential returns violates this rule.

Background Information

Tyler Tognarine has passed the following exams:

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

Tyler Tognarine is a registered broker in Florida, New Hampshire, New Jersey, North Carolina, and Pennsylvania. He is also a registered investment adviser in Florida.

Kurta Law Can Help

If you worked with Tyler Tognarine 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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