Joseph Varvara, of Staten Island, New York, a stockbroker formerly registered with Charles Vista, LLC, is the subject of a customer initiated investment related arbitration claim, where the customer requested $43,823.00 in damages based upon allegations that over-the-counter equities investment transactions were executed in the customer’s account that were not suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01059 (July 28, 2017).
FINRA Public Disclosure additionally reveals that a customer initiated investment related written complaint regarding Varvara’s activities was resolved for $3,000.00 in damages supported by allegations that Varvara, while associated with Newbridge Securities corporation, effected inappropriate equity transactions in the customer’s portfolio, leading the customer to sustain investment losses. FINRA Arbitration No. 09-05658 (Jan. 20, 2010).
Varvara is currently registered with National Securities Corporation. Since September 29, 2005, Varvara has been associated with five different broker dealers, including First Republic Group, LLC and Charles Vista LLC, both of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct.
Guiliano Law Group
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