Victoria Pazzalia Allegedly Made Unsuitable Recommendation of NP Skyloft

Victoria Pazzalia (CRD #: 5920806), a broker registered with Madison Avenue Securities, allegedly made an unsuitable investment recommendation, according to her BrokerCheck record, accessed on March 15, 2025. Investors may have also engaged her services through McAdam. If you have questions about her alleged conduct as a broker, keep reading.

Investor Dispute

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

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consider the information in an investor’s profile, such as their risk tolerance, age, tax status, and investing experience.

• High-risk and illiquid investments are often unsuitable due to their risk and their difficulty to sell in the near future, respectively.
• Trading activity can also be quantitatively unsuitable, meaning that the broker executed an excessive number of trades, racking up trading fees and commissions that reduce clients’ returns.
• These requirements also apply to investment strategies. For example, overconcentrationing in a particular sector or stock can come with an unsuitably high degree of risk.

Investors who believe their losses are the result of unsuitable investment recommendations may be able to recover their funds by seeking out 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.