RedFlags, Allegations and Complaints against ROBERT ATTILIO FIORENTINO
Disclosure #1 for ROBERT FIORENTINO
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- eventDate: 2/8/1998
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGED UNAUTHORIZED PURCHASE OF 2000 SHARES OF STOCK 800 TRAVEL AT A PRICE OF $5 PER SHARE. CUSTOMER DID NOT INCLUDE WITH LETTER A CLAIM FOR COMPENSATORY DAMAGES. CUSTOMER INCORRES NO LOSSES FOR THIS ERROR. EVEN IF CUSTOMER ALLEGATIONS WERE TRUE, DAMAGES WOULD HAVE BEEN FOR LESS THAN $5,000
- Settlement Amount: $4,257.00
- Arbitration Docket Number:
- Broker Comment: TRADE IN ERROR WAS CANCELLED WITH NO DAMAGES TO CUSTOMER. THIS U-4 AMENDMENT IS A RESANSE TO CRD ADVISORY MESSAGE DATED 5/4/98 IN WHICH A FILING TRO BROKER`S U-5 WAS REPORTED TO HAVE BEEN MADE BY BROKER`S PREVIOUS EMPLOYER 1ST LIBERTY. IT IS OUR VIEW THAT DUE TO THE FACT THAT THE CUSTOMER COMPLAINT PERTAINED TO A SALES PRACTICE VIOLATION IN WHICH, AS A GOOD FAITH DETERMINATION OF THE FIRM, DAMAGES FROM THE ALLEGED CONDUCT WOULD HAVE BEEN LESS THAN $5,000. IT IS OUR VIEW THAT THE U-5 FILED BY 1ST LIBERTY INVESTMENT GROUP REGARDING THIS MATTER DOES NOT ACCURATELY REFLECT THE CIRCUMSTANCES SURROUNDING THE EVENT, IN LIGHT OF THE TERMS OF QUESTION 22G(1) OF THE U-4 & QUESTION 13B (2) (a) OF THE U-5, AND IS NOT A DISCLOSABLE EVENT. IF IT IS DEEMED THAT THIS IS AN INCORRECT FILING OR THAT FURTHER DOCUMENTATION IS REQUIRED, PLEASE ADVISE. PLEASE AMEND U4 FOR QUESTION 22G(1) TO HAVE A O RESPONSE.
Should I file a FINRA complaint against brokers like ROBERT ATTILIO FIORENTINO?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by ROBERT ATTILIO FIORENTINO’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About ROBERT ATTILIO FIORENTINO
What is ROBERT FIORENTINO’s Central Registration Depository (CRD) Number?
Which firm is ROBERT ATTILIO FIORENTINO associated with?
PENTEGRA DISTRIBUTORS INC.
Where is ROBERT FIORENTINO located?
701 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604
Where can I find more details about ROBERT FIORENTINO’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/26249 to read a detailed report for PENTEGRA DISTRIBUTORS INC.
Are there any disclosures, allegations or complaints filed against ROBERT ATTILIO FIORENTINO?
Where can I download a detailed FINRA report for ROBERT FIORENTINO?
Is it safe to do business with ROBERT ATTILIO FIORENTINO?
We’re not sure. Please research ROBERT FIORENTINO’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:35 pm
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