Ryan Owen Tarjanyi of Kettering Ohio a stockbroker employed by Bankers Life Securities Inc. has been discharged by the firm on March 30, 2018 based upon allegations that Tarjanyi failed to be forthcoming in an investigation into his activities.
FINRA Public Disclosure additionally reveals that on February 20, 2018, a customer initiated investment related complaint concerning Tarjanyi’s activities was settled for $120,000.00 in damages founded on accusations that Tarjanyi forged a customer’s signature on a fixed annuity liquidation form.
Tarjanyi has been registered with Trustmont Financial Group, Inc. since April 24, 2018.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
SII Broker Discharged For Unauthorized Transactions
Frank Augustine Cuenca of San Ramon California a stockbroker formerly employed by SII Investments, Inc., has been discharged from the firm on December 7, 2017, supported by allegations that he (1) neglected to abide by the firm’s procedures concerning variable annuity transactions (2) utilized unauthorized communication vehicles and (3) failed to report a customer dispute.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Cuenca has been identified in five customer initiated investment related disputes pertaining to accusations of his misconduct during the time that he was registered with FSC Securities Corporation and Securities Services Network, Inc. Particularly, on August 25, 2000, a customer filed an investment related complaint involving Cuenca’s conduct where the customer requested damages estimated to exceed $5,000.00 based upon allegations that between August 25, 2000 and September 27, 2000, inappropriate mutual fund transactions had been effected in the customer’s account, and expenses and fees were never disclosed to the customer.
Then, on March 26, 2001, a customer filed an investment related complaint regarding Cuenca’s activities in which the customer sought $9,000.00 in damages founded on accusations that Cuenca failed to diversify the customer’s investments. Thereafter, Cuenca was subject of a customer initiated investment related arbitration claim where the customer was awarded $23,927.60 in damages based upon Cuenca having been found liable on the customer’s claims of unauthorized and unsuitable mutual fund transactions having been placed in the customer’s account. National Association of Securities Dealers (NASD) Arbitration No. 02-04811 (Aug. 1, 2003).
On December 10, 2009, another customer filed an investment related complaint concerning Cuenca’s conduct in which the customer requested $5,000.00 in damages supported by allegations that Cuenca executed unauthorized mutual fund transactions in the customer’s account. Then, on March 2, 2009, a customer filed an investment related complaint involving Cuenca’s activities where the customer sought $12,000.00 in damages based upon accusations against Cuenca of negligence; Cuenca did not abide by the customer’s instructions of liquidating accounts and depositing proceeds in the money market.
Cuenca has been employed by International Assets Advisory since January 10, 2018.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
