Todd Battaglia
Broker Info
Contact data available online
8151 Peters Road, Suite 3200, Plantation, FL 33324
(954) 289-9000
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About Todd Battaglia
Todd Battaglia: A Critical Examination
Todd Battaglia serves as the President and Chief Executive Officer of MG&A Wealth, a privately owned wealth management firm based in Plantation, Florida. While he boasts over three decades of experience in the financial services industry, there is a notable absence of publicly available information regarding any regulatory actions, client disputes, or controversies associated with his professional conduct. This lack of transparency makes it challenging to assess his adherence to industry standards and ethical practices.
In the broader wealth management industry, there have been instances of firms and individuals facing legal and regulatory scrutiny. For example, in 2021, the CEO of a wealth management company in Pune, India, along with others, was booked for allegedly cheating depositors of significant sums by promising unrealistic returns on investments. While this case is unrelated to Battaglia or MG&A Wealth, it underscores the importance of due diligence when selecting a financial advisor.
Potential clients are advised to conduct thorough research and seek comprehensive disclosures before engaging with any financial advisor, including Todd Battaglia. Ensuring transparency and understanding an advisor’s professional history are crucial steps in making informed financial decisions.
- This summary is automatically created and published by data analyzed and provided by DeepSeek, Grok and Google.
Red Flags & Disclosures on Todd Battaglia
On March 9, 2011, a customer lodged a dispute against a financial advisor, alleging that the investment portfolio recommended was inconsistent with their stated “conservative” risk tolerance. The claim pertained to financial losses experienced during the market collapse of 2008. Despite noting that the accounts were ultimately closed in a net profitable position, the claimants sought damages amounting to $1,500,000.00, citing dissatisfaction with the overall decline in profitability.
The financial advisor firmly denied the allegations, maintaining that all investment recommendations were appropriate at the time they were made. The advisor asserted that the clients had no out-of-pocket losses and suggested the claimants were dissatisfied solely due to unmet expectations of higher returns. To resolve the matter, a settlement of $40,000.00 was reached. While the dispute was concluded without an admission of fault, this instance underscores the challenges of aligning investment strategies with client expectations, particularly in volatile market environments.
How to report Todd Battaglia to FINRA
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Investors distrust FINRA BrokerCheck reports because they often omit key information, are susceptible to manipulation by brokers, and fail to provide the detailed insights necessary for evaluating financial advisors. Disclosure manipulation is facilitated by limited termination reporting, expungement processes, and selective data presentation. Meanwhile, the lack of detail stems from FINRA’s preference for concise reports over comprehensive transparency, despite having access to richer data.
FINRA has stated it aims to balance investor protection with fairness to brokers, limiting disclosures to what it deems "relevant" and "appropriate." This approach avoids overwhelming users but sacrifices the depth investors need for informed decisions.
Report Todd Battaglia to Broker Complaints
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by: Holly Davis
Todd Battaglia’s complete lack of transparency and mismanagement of my $160,000 investment has left me financially ruined and emotionally drained.
by: Gabriel Lopez
I invested my life savings with Todd Battaglia, only to see it dwindle away with no clear explanations. Now, I'm left heartbroken and financially broken😥
by: Omar Ibrahim
Where’s the detail? No public info about past client issues, no regulatory records, no history of disputes—either he’s spotless, or someone’s really good at keeping things scrubbed.
by: Isha Kapoor
His firm isn’t a household name. That’s not a deal-breaker, but it does mean fewer eyes are watching—and fewer watchdogs catching problems if they arise.
by: Julian Keller
The comparison game is useful. Other CEOs in this space often have glowing reviews or… not-so-glowing disciplinary actions. With Todd, it’s just crickets.
by: Ece Demir
Don’t get lulled by titles. “CEO” doesn’t mean ethical. “30 years of experience” doesn’t mean trustworthy. The proof is in the details—and the details are what’s missing here.