Category Archives: Arive Capital Markets

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging Churning – Iselin, NJ

August 2017 -Tinton Falls, NJ

According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , disclose 2 customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA case #15-02835  a customer of  Aegis Capital Corp. alleged unsuitable investments, unauthorized trading, unsuitable use of margin and account churning.   The customer alleged damages of $466,606. That case settled for $185,000.

In currently pending FINRA case 15-03242  a customer of Aegis Capital Corp. alleges unsuitable recommendations, breach of fiduciary duty, negligence and misrepresentation and seeks damages of $204,136.

Lavista’s prior employment includes Aegis Capital Corp. National Securities Corporation, Obsidian Financial Group and Arive Capital Markets.  

If you have questions about an account in an account handled by Rocco Lavista contact us to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

John J. Santariello-Arive Capital Markets Broker-Discloses Customer Complaint Alleging Speculative Trading

August 2016- Coram, NY

The FINRA records of John J. Santariello ,  a  stock broker who is currently  employed by Arive Capital Markets  disclose  a currently pending customer dispute and a prior financial event.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In currently pending FINRA Case#14-02955 , a customer of his prior employer, K.C. Ward Financial, alleges damages of $100,000 for account losses from 2012 through May 2014 due to unsuitable and excessive trading of high-risk, speculative stocks.

Santariello has been employed by  Arive Capital Markets since 7/2016. His prior employment includes:

  • Cape Securities                                                 8/2015-6/2016
  • Joseph Gunnar                                                   7/2015-7/2015
  • Wilmington Capital Securities                 3/2014-5/2015
  • National Securities Corp                            8/2013-2/2014
  • K.C. Ward Financial                                      2/2010-5/2013

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870