David John Volpe of Scottsdale Arizona a stockbroker employed by First Financial Equity Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought more than $5,000.00 in damages founded on allegations that the customer’s funds had been converted by the stockbroker. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-02492 […]
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Tag Archives: David John Volpe
Investors Bring FINRA Claim Against First Financial Equity Corp For Stockbroker Theft
November 04, 2020 | Posted by : Guiliano Law Group | Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft | Comments Off on Investors Bring FINRA Claim Against First Financial Equity Corp For Stockbroker Theft
FINRA Bars First Financial Stockbroker In Investigation
August 16, 2019 | Posted by : Guiliano Law Group | Customer Loans, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
David John Volpe of Scottsdale Arizona a stockbroker registered with First Financial Equity Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Volpe neglected to cooperate with FINRA personnel when he was being investigated for selling away or otherwise borrowing funds from customers […]
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