May 2017-Staten Island, NY
The FINRA records of Joseph L. Derrico , a stockbroker who is currently registered with Woodstock Financial Group disclose a pending regulatory matter, a pending customer dispute and a prior customer dispute .
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 the pending matter received in 1/2017 a customer of Woodstock Financial Group alleges damages of $63,000 for losses due to unauthorized trading and failure to follow instructions.
Joseph L. Derrico has been employed by Woodstock Financial Group since 7/2015. He was employed by Alexander Capital from 10/2014-7/2015 , International Assets Advisory. from 6/2012-11/2014 and Brookstone Securities 11/2009-6/2012.
If you have questions about an account handled by Joseph L. Derrico , contact us to discuss your 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.
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