NEW YORK, NY
Did you invest with financial advisor Troy Orlando in New York, New York? Israels & Neuman is looking into claims made by FINRA against this advisor, who had been an affiliate of Craft Capital Management from March 2022 to November 2023. In November 2024, he was barred from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.
According to FINRA’s Letter of Acceptance, Waiver, and Consent (AWC), Mr. Orlando was permitted to resign by Craft Capital Management in November 2023. FINRA had previously suspended him in November 2023 after he allegedly violated Regulation Best Interest while he worked at prior brokerage firms. FINRA was also investigating the suitability of his trades at Craft Capital, which led to his expulsion from the industry.
Troy A. Orlando was previously registered with Craft Capital Management, Joseph Gunnar, and Joseph Stone Capital. He worked in New York, New York and also was the subject of two customer complaints and a 2022 bankruptcy.
Brokerage firms must reasonably monitor its financial advisors. If the firm fails to do so, they could be liable for investor losses.
FINRA’s AWC Regarding Troy Orlando can be found HERE
Troy Orlando’s BrokerCheck Report can be found HERE