Tag Archives: Trident Partners Ltd. litigation

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY

September 2019, Melville, NY

According to publicly available records Robert Paul Solow   (CRD# 4532161) ,  a  stockbroker who is not not registered and who last worked for Joseph Gunnar & Co. ,   disclose 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.

In March of 2018,   FINRA case #18-001954 was filed by a  customer of Trident Partners, alleging unsuitable transactions and seeking damages of $370,486.   That case is still pending.

Robert Solow  was employed with Joseph Gunnar & Co  from October 2016 until December  2017.  He was with Aegis Capital Corp.  from December 2015 until March of 2016.   Before that time he was with Worden Capital Management, J.D. Nicholas & Associates, Rockwell Global Capital and Trident Partners, LTD.   

If you have questions about an investment account handled by Robert Paul Solow,  contact us for a no charge consultation to learn about 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits

September 2018-Woodbury, New York

According to FINRA records, Theodore Allocca, Jr.  a broker who is currently registered  with Trident Partners Ltd. , disclose a pending customer dispute and  two prior final customer disputes.

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 18-0195, a customer of Trident Partners alleges that Allocca made unsuitable recommendations and is seeking damages of $370,486.

In FINRA Case 15-02510, a customer  of Trident Partners alleged damages of $400,000 for unsuitability and poor performance between 11/26/2013-11/12/2014. That matter was settled for $65,000.

In  NASD Case 99-2438, a customer of Comprehensive Capital Corp., his prior employer, alleged misrepresentations and breach of fiduciary duty and sought damages of $525,804. An arbitration panel awarded $35,000 to the customer.

Allocca has been registered with Trident Partners since 12/2001.

If you have questions about  a brokerage account handled by Theodore Allocca, Jr.  , call for a no charge consultation 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Trident Partners Broker William Quigley Investigation

May 28,2015

Rex Securities Law is investigating former Trident Partners, Ltd. broker William Michael Quigley.

The Securities & Exchange Commission filed an administrative proceeding (File No. 3-16560) against William Michael Quigley alleging that he and his two brothers conducted a fraudulent offering scheme by duping foreign investors into sending funds to various US banks and brokerage accounts for purported investments in companies slated to go public. Investors were led to believe they were investing in well known companies like Dell, Berkshire Hathaway and BlackRock Inc. as well.

According to the SEC pleading, Quigley, of Seaford, New York,  and his brothers, who live in the Philippines,  used “every trick in the book” to defraud the victims, including phony account statements, phony stock certificates and fake names. When one investor tried to get his money back he was told that one of the fictitious persons who supposedly handled the investment had died in a motorcycle accident.

According to FINRA records, Quigley was the compliance director for Trident Partners Ltd., a broker dealer in Westbury, N.Y. He was registered with Trident  from 10/2007-9/2014.

If you have losses in an account at Trident Partners, call to learn how you may be entitled to 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870