Advisor Alert: Our Attorneys Are Investigating Carol Ann Tartaglia For Investment Fraud
Did You Lose Money Because of Carol Tartaglia?
Filed: November 2, 2023
Carol Ann Okeefe (also known as Carol Tartaglia Okeefe and Carol Ann Tartaglia) has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Carol Ann Tartaglia.
Who Is Carol Ann Tartaglia?
- Advisor Name: Carol Ann Tartaglia
- Aliases: Carol Ann Okeefe, Carol Tartaglia Okeefe
- CRD: 1000760
- Location: East Haven, Connecticut
- Current Employer: Currently Not Registered
- Previous Firms: LPL Financial LLC, Uvest Financial Services Group, Inc., and Webster Investment Services, Inc.
- Number of Known Customer Complaints: 2
- Can Carol Tartaglia Be Sued: Yes, in Private Arbitration
- Can Carol Tartaglia’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $11,120
- Highest Settlement: Unknown
If you have suffered investment losses by Carol Tartaglia, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Carol Tartaglia For Broker Misconduct
As of this publication date, Carol Tartaglia has been the subject of 2 customer disputes. Let’s review them below.
In May 2020, a complaint was filed against or in reference to Carol Tartaglia by a customer of LPL Financial LLC alleging suitability issues in reference to the clients’ variable annuity. Per the customer, he/she lost over $5,000 because of Ms. Tartaglia’s actions.
In March 2016, a complaint was filed against or in reference to Carol Tartaglia by a customer of LPL Financial LLC alleging misrepresentation and suitability. Per the customer, he/she lost over $11,120 because of Ms. Tartaglia’s actions.
How To File A Claim Against Carol Tartaglia (previously with LPL Financial LLC, Uvest Financial Services Group, Inc., and Webster Investment Services, Inc.) To Get Your Money Back.
If you have questions about Carol Tartaglia, LPL Financial LLC, Uvest Financial Services Group, Inc., Webster Investment Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.