Anthony Joseph Dibernardo of Melville, New York, a stockbroker associated with Hornor, Townsend & Kent, Inc., has been fired on June 29, 2017, based upon allegations that he effected a trade in a customer’s account without authorization.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Dibernardo is referenced in two customer initiated investment related disputes containing accusations of Dibernardo’s improper conduct while employed with Signator Investors, Inc. and Hornor, Townsend & Kent, Inc. Specifically, a customer initiated investment related arbitration claim involving Dibernardo’s conduct was settled for $60,000.00 in damages founded on allegations that the customer was sold an insurance product that was not appropriate, and the customer had not been provided with disclosures regarding the terms and conditions of investing. National Association Securities Dealers (NASD) Arbitration No. 03-06627 (Apr. 18, 2005).
Thereafter, on May 4, 2017, a customer initiated investment related written complaint regarding Dibernardo’s activities was resolved for $12,533.80 in damages based upon accusations of stock trades having been executed in the customer’s account without the customer’s permission.
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