669,489 @ 11:17 am
New Complaint Pending on Maiocco 1-17-16
ROBERT A. MAIOCCO (CRD# 317529)
WELLS FARGO ADVISORS, LLC (CRD# 19616)
2 INTERNATIONAL PL, FL 20, BOSTON, MA 02110
Disclosure Event(s)
01/17/2016
Customer Dispute - Pending
Allegations
Client alleges he told FA he could not afford to lose on his investments and that the FA assured him as such. (03/01/2010-12/04/2014)
Damage Amount Requested
$90,000.00
___________________________
CHECK OUT THE CREDIO WEBSITE ON MAIOCCO
http://financial-advisors.credio.com/l/94465/Robert-Maiocco
FINRA Disclosures
Disclosures Summary
Financial
Advisors are obligated to disclose any events that may influence their
professional conduct or ability to advise their clients. Disclosure
events can be criminal matters, regulatory actions, civil judicial
proceedings, customer complaints, employment terminations, arbitrations,
civil litigations or other financial matters in which the advisor has
been involved.
According to information obtained from FINRA, Robert Maiocco has at least 3 reported disclosure events.
This information may be verified by entering the advisor's Individual CRD Number (#317529) on the SEC's Investment Advisor Public Disclosure (IAPD) website, or by using FINRA's BrokerCheck tool.
http://medfordinformationcentral.blogspot.com/2016/03/letter-to-stephanie-burke-on-maiocco.html
Robert A. Maiocco
#317529
https://www.sec.gov/investment/investor-alerts-bulletins/ib_iapd.html
Investor Bulletin: What is IAPD (Investment Adviser Public Disclosure)?
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a short overview of the SEC’s IAPD database. For additional information about IAPD, please visit the IAPD website on SEC.gov. For information about checking out the background of financial professionals more generally, please see our Investor Bulletin, Top Tips for Selecting a Financial Professional.
The IAPD database contains registration documents filed by investment adviser firms that register electronically using the Investment Adviser Registration Depository (IARD). (The SEC typically regulates larger investment adviser firms, while the states generally regulate smaller investment adviser firms). IAPD also contains registration information filed with the states by individuals acting as investment adviser representatives. Information concerning investment adviser firms no longer registered with the SEC or states is made available on IAPD for 10 years.
