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Alyssa Rakovich Was Sanctioned by FINRA and Was Discharged From a Former Employer

Alyssa RakovichPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Florida-based Advisor Group Equity Services broker/adviser Alyssa Rakovich has been sanctioned by FINRA and is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Rakovich (CRD# 3003477).

Alyssa Rakovich has spent 19 years in the securities industry and has been registered with Advisory Group Equity Services in Bradenton, Florida since 2016. Previous registrations include Morgan Stanley in Sarasota, Florida (2009-2015); Citigroup Global Markets in Sarasota, Florida (2002-2009); The Robinson-Humphrey Company in Atlanta, Georgia (1998-2002); and JC Bradford & Company in New York, New York (1998). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on October 26, 1998; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 30, 1998; Series 7 (General Securities Representative Examination), which she obtained on March 20, 1998; Series 10 (General Securities Sales Supervisor – General Module Examination), which she obtained on February 14, 2007; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which she obtained on February 6, 2007. She is a registered broker and investment adviser with two US states: Florida and Pennsylvania.

According to her BrokerCheck report, she has been sanctioned by FINRA, she was discharged from a former employer in connection to alleged rule violations, and she has received a pending customer complaint.

In 2017 a customer alleged Alyssa Rakovich, while employed at Morgan Stanley Smith Barney, failed in her supervisory duties. The customer is seeking unspecified damages in the pending complaint.

In 2017 FINRA sanctioned Alyssa Rakovich in connection to allegations she participated in outside business activities, including consulting services for which she received approximately $32,500 in related compensation, for which she did not receive prior firm approval, and which she partially failed to disclose on a firm sales questionnaire She was issued a one-month suspension and a fine of $5,000.

In 2015 she was terminated from her position at Morgan Stanley in connection to allegations related to undisclosed outside activities.

If you have lost money investing with Alyssa Rakovich, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. 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.