Can I recover losses from investments with former Voya Financial Advisors, Inc. broker Ronan Gaudario (CRD# 2494459)? Ronan Gaudario was registered with Voya Financial Advisors, Inc. in Burlingame, California from 2009 to 2017.
In 1995, Ronan Gaudario was terminated from Smith Barney in New York, New York regarding, “sending unauthorized correspondence to a former co-worker; non-securities related.”
Ronan Gaudario Faces Real Estate Securities Losses Complaint
Ronan Gaudario has been the subject of one customer complaint, according to his CRD report:
September 2021. “Claimant alleges that in 2015 the representative improperly recommended investment in high risk, illiquid alternative investments, and misrepresented the investments as safe and providing a 6% return.” The customer is seeking $100,001 in damages and the case is currently pending. The complaint was regarding real estate securities and took place while Ronan Gaudario was registered with Voya Financial Advisors, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Voya Financial Advisors, Inc. may be liable for investment or other losses suffered by Ronan Gaudario’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.