Tag Archives: NBC Securities Inc.

FINRA Sanctions NBC Stockbroker For Unauthorized Trading

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) […]

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Investor Accuses NBC Securities Of Bad REIT Investments

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 […]

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Regulator Sanctions NBC Securities Broker

September 27, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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NBC Securities Named in Customer Arbitrations Alleging Unsuitability

November 02, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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NBC Securities Named in Unsuitability Claim

September 16, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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, […]

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