July 2016-Cuyahoga County, Ohio
The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently employed by SA Stone Wealth Management (formerly Sterne Agee Financial Services), disclose 2 prior regulatory events, a currently pending customer dispute and a prior final 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 currently pending matter, a customer of WRP Investments alleges damages of $153,000 for failing to supervise the activities of John Corsi, a broker with WRP Investments in relation to the sale of promissory notes. Case CV 16 873171, Court of Common Pleas, Cuyahoga County, Ohio.
Pintaric has been employed by SA Stone Wealth Management since 9/2014. He was employed by WRP Investments in Youngstown, OH, from 3/1977-9/2014.
If you have questions about an account handled by William Richard Pintaric call to learn how you may be entitled to collect damages through FINRA arbitration.
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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