Thomas J. Briguccia, Jr., of Ronkonkoma, New York, a stockbroker with K.C. Ward Financial, is subject to a pending customer dispute from May 13, 2016, in which a customer requested $100,000.00 in damages in connection with trading losses attributable to Briguccia’s misconduct.
According to FINRA’s BrokerCheck, Briguccia has been subject to thirteen other disclosure incidents, several of which involve customer disputes. Particularly, on December 20, 2000, Briguccia settled a customer dispute for $27,500.00 amid allegations that Briguccia made omissions and misrepresentations of material information to a customer concerning recommendations of securities.
On June 10, 2002, Briguccia settled a customer dispute for $190,000.00 after the customer alleged omissions of material facts, unsuitability, misrepresentations, churning of the customer’s account, and the breach of Briguccia’s fiduciary duties. On February 23, 2004, Briguccia settled a customer dispute for $125,000.00 after the customer alleged poor performance of investments.
On July 8, 2004, Briguccia settled another customer dispute for $140,000.00 amid allegations of Briguccia’s failure to follow objectives of the customer, the abuse of the customer’s margin account, and Briguccia’s recommendation of unsuitable investments. Briguccia settled a customer dispute for $19,000.00 on December 10, 2007, after the customer alleged that investments had performed poorly.
On January 29, 2009, another customer lodged a complaint against Briguccia for poor performance, in which Briguccia settled with the customer for $100,000.00 in damages. On September 11, 2009, Briguccia became subject to a pending customer dispute, in which the customer requested $141,994.50 after alleging omissions and misrepresentations concerning investments. Briguccia settled a customer dispute on August 18, 2010 for $11,000.00 after the customer alleged poor performance and misrepresentations.
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