August 2016- Ronkonkoma, NY
The FINRA records of Thomas J. Briguccia, Jr. , a stock broker who is currently employed by K. C. Ward Financial disclose 3 currently pending customer disputes, a6 prior customer disputes and 5 currently outstanding judgement/liens.
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#14-02641, a customer of K.C. Ward Financial alleges damages of $100,000 for trading losses.
In currently pending California Superior Court Case #37-2009-0009671 , a customer of Briguccia’s prior employer Joseph Gunnar & Co. , alleges damages of $141,994 for misrepresentation of risks, omission of information and emotional distress.
Briguccia discloses five outstanding liens recorded at the Circuit Court for Palm Beach County, Florida, including one in the amount of $106,304 in favor of JP Morgan Chase Bank and one in the amount of $438,901 in favor of Wells Fargo Bank.
Briguccia has been employed by K.C. Ward Financial since 9/2009. Prior to that he was employed by Joseph Gunnar & Co. from 12/1997-9/2009.
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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