Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2018 indicate that New Jersey-based TD Ameritrade broker/adviser Andrew Mallardi is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mallardi (CRD# 4827218).
Andrew Mallardi has spent 12 years in the securities industry and has been registered with TD Ameritrade in Morristown, New Jersey since 2009. Previous registrations include Oppenheimer & Company in New York, New York (2008-2009); Spencer Trask Ventures in New York, New York (2007-2008); Neuberger Berman LLC in New York, New York (2005-2007); and Brookstreet Securities Corporation in San Juan Capistrano, California. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 8, 2005; Series 7 (General Securities Representative Examination), which he obtained on March 29, 2005; and Series 24 (General Securities Principal Examination), which he obtained on June 21, 2017. He is a registered broker and investment adviser with nine US states and territories: Alaska, Connecticut, Delaware, Florida, Iowa, New Jersey, New York, Pennsylvania and Texas. He is registered with one self-regulatory organization (SRO): FINRA.
According to his BrokerCheck report, he has received one pending customer complaint.
In September 2017 a customer alleged Andrew Mallardi, while employed at TD Ameritrade, recommended an unsuitable investment in August 2013 “following the referral and account transfer to an independent financial advisory firm.” The customer is seeking $49,141 in damages in the pending complaint.
If you or someone you know has lost money investing with Andrew Mallardi, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.