Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments

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.

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