Last Updated: August 2025 – Sewickley, PA
Here’s what you need to know about Sewickley, PA, stockbroker Michael A. Battalini:
- Name: Michael Adam Battalini
- CRD Number: 3204878
- Current Status: Not currently registered with any FINRA-member firm
- Prior Employers:
- World Capital Brokerage, Inc. (Sewickley, PA)
- Coastal Equities, Inc. (Pittsburgh, PA) Now Realta Equities
- Prospera Financial Services, Inc. (Pittsburgh, PA)
- Ferris, Baker Watts Incorporated
- Advest, Inc.
- Morgan Stanley DW Inc.
- Hefren-Tillotson, Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: Sewickley, PA
- Other Business Affiliations: Pittsburg Wealth Management Group, Aegis Financial
- Permitted to Resign Following Allegations: Yes
- Highest Award or Settlement: $215,000
If you’ve sustained damages from Mr. Battalini, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Michael A. Battalini As Your Stockbroker?
Michael A. Battalini has been the subject of two customer disputes and one employment separation following allegations:
- Case 1 – FINRA Arbitration Case No. 23-02376
- Filing Date: August 30, 2023
- Allegations: Unsuitable investments in alternative investments while at Coastal Equities, Inc.
- Settlement Amount: $100,000
- Case 2 – FINRA Arbitration Case No. 22-02771
- Filing Date: December 7, 2022
- Allegations: Unsuitable recommendations of Direct Investment – DPP & LP Interests at Coastal Equities, Inc.
- Settlement Amount: $215,000
- Employment Termination – World Capital Brokerage, Inc.
- Date: April 17, 2023
- Reason: Allowed to resign after the firm discovered that required arbitration disclosures were omitted from Battalini’s Form U-4 filings.
Allegations of Broker Misconduct Against Michael A. Battalini
- Unsuitable Investment Recommendations
- Failure to Disclose Arbitration Matters to His Employer
- Mismanagement of Client Accounts and Recommendations of High-Risk Products
These matters collectively raise concerns regarding compliance with suitability requirements under FINRA Rule 2111 and the duty of disclosure under FINRA Rule 2010.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Michael A. Battalini, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.