Marcello Lattuca, of Massapequa, New York, a stockbroker currently registered with NBC Securities Inc., is referenced in a customer initiated investment related arbitration claim which was resolved for $75,000.00 in damages supported by allegations of elder abuse and breach of fiduciary duty pertaining to real estate security and stock transactions executed by Lattuca between 2012…
Brian Gregory DiJulio of Bellevue Washington a stockbroker formerly registered with NBC Securities Inc. has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) DiJulio executed unauthorized trades in customer accounts while employed by NBC Securities Inc. and (2)…
Joseph Edward Disanza of Massapequa New York a stockbroker currently employed by NBC Securities Inc. is the subject of a customer initiated investment related complaint on June 19, 2017 in which the customer sought $25,000.00 in damages founded on accusations that Disanza placed the customer in unsuitable stock and real estate investment trust products which…
Geoffrey Scott Cambal of West Yarmouth Massachusetts a stockbroker registered with NBC Securities Inc. has been ordered by the Massachusetts Securities Division to be placed on heightened supervision as a condition of registering with the firm based upon findings that Cambal has been subject of six complaints that alleged sales practice violations including (1) unauthorized…
Dennis H. Cambal, of Yarmouth, Massachusetts, a stockbroker registered with NBC Securities, Inc., has been named in ten customer initiated investment related arbitration claims, according to FINRA Public Disclosure. Particularly, on March 24, 2015, Cambal settled a customer initiated investment related arbitration claim for $24,999.00 in damages based upon allegations that Cambal effected unsuitable investment…
Marcello Lattuca, of Massapequa, New York, a stockbroker with NBC Securities, Inc., is subject to a pending customer dispute from March 15, 2016, in which the customer requested $109,078.00 after alleging that Lattuca did not fully disclose investment risks to the customer. The customer further alleged that given the customer’s risk objectives and investment objectives,…