SERVING CLIENTS NATIONWIDE

Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction

FINRA fined and suspended former Morgan Stanley (Roseville, CA) broker and supervisor Lisa C. Piazza aka Lisa C. Adamo or Lisa C. Rogers for willfully failing to disclose a burglary charge and subsequently completing multiple compliance questionnaires in which she falsely represented that she had not been charged.

AWC #2017054644001

According to the findings, the Superior Court of California in Sacramento County charged Piazza (CRD #2071299) with misdemeanor burglary and larceny in 2014, the subsequent conviction resulting in a 30-day jail term and three years of probation (through November 2017).

Morgan Stanley permitted Piazza to resign in June 2017 after she failed to timely disclose this reportable event.

If you have invested with Lisa C. Piazza or with any other broker or financial adviser who has failed to report a disclosable event, such as a criminal conviction for theft or other pertinent property crimes, and these omissions or misrepresentations have proven harmful to your investments or interests due to conversion, misappropriation, or other misconduct, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories