August 2016- Coram, NY
The FINRA records of John J. Santariello , a stock broker who is currently employed by Arive Capital Markets disclose a currently pending customer dispute and a prior financial event.
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#14-02955 , a customer of his prior employer, K.C. Ward Financial, alleges damages of $100,000 for account losses from 2012 through May 2014 due to unsuitable and excessive trading of high-risk, speculative stocks.
Santariello has been employed by Arive Capital Markets since 7/2016. His prior employment includes:
- Cape Securities 8/2015-6/2016
- Joseph Gunnar 7/2015-7/2015
- Wilmington Capital Securities 3/2014-5/2015
- National Securities Corp 8/2013-2/2014
- K.C. Ward Financial 2/2010-5/2013
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.
Florida-561 391 1900