Tag Archives: David John Volpe

Investors Bring FINRA Claim Against First Financial Equity Corp For Stockbroker Theft

November 04, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on Investors Bring FINRA Claim Against First Financial Equity Corp For Stockbroker Theft

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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FINRA Bars First Financial Stockbroker In Investigation

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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