July 2016-Ronkonkoma, NY
According to publicly available records Patrick C. Gugliotta , (CRD# 5033421) , a stockbroker who was formerly employed by K.C. Ward Financial, discloses a pending 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.
A customer of K.C. Ward Financial has filed FINRA arbitration #15-03359 alleging damages of $450,000 for speculative trading.
Gugliotta is currently employed by Merrill Lynch. He was employed by K.C. Ward Financial from 2/2008-9/2016.
If you have questions about an account in an account handled by Patrick C. Gugliotta, 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.
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