RedFlag, Allegation and/or Complaint against JOSEPH FRANCIS MISCIA
Disclosure #1 for JOSEPH MISCIA
- Event Date: 12/5/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER COMPLAINED THAT RECOMMENDATIONS MADE FOR HIS DISCOUNT BROKERAGE ACCOUNT THAT WAS ESTABLISHED IN JUNE 2007 WERE UNSUITABLE GIVEN CUSTOMER’S RISK TOLERANCE.
- Damage Amount Requested: $21,000.00
- Settlement Amount: $7,800.00
- Arbitration Docket Number:
- Broker Comment: U4 IS BEING UPDATED AT THIS TIME TO REFLECT THE 2009 SETTLEMENT OF $7,800. FIRM ORIGINALLY DENIED ANY WRONGDOING BY RR, BUT CASE WAS SUBSEQUENTLY SETTLED THROUGH THE FIRM’S INTERNAL MEDIATION PROCESS FOR THE AMOUNT LISTED ABOVE.
Should I file a FINRA complaint against brokers like JOSEPH FRANCIS MISCIA?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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