DOMINIC FREDO GALATI is currently employed as a Broker and/or Investment Adviser at TD AMERITRADE, INC. located at 300 ROUTE 73 SOUTH, SUITE D, MARLTON, NJ, 08053.

DOMINIC FREDO GALATI has worked at TD AMERITRADE, INC. since September 16, 2013

Disclosure History

DOMINIC FREDO GALATI has 1 Disclosure Event(s).

Date: August 17, 2017
Category: Customer Dispute
Allegations: Client alleges unsuitable investment. The broker/dealer maintains a list of independent financial advisory firms that a client may be referred to based on a suitability survey. Representative referred client to two of these firms in 2014.
Damage Amount Requested: $340,000.00
Broker Comment: Under the terms of the settlement agreement, advisor firm Sheaff Brock Investment Advisors (SBIA) paid $100,000 to settle the claims of the Claimant. Neither TDA nor Mr. Galati have any payment obligations. Mr. Galati was not a respondent to the case.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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