ALBERT JAMES MINUTOLA is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 1403 FOULK RD STE 104, WILMINGTON, DE, 19803.
ALBERT JAMES MINUTOLA has worked at CETERA ADVISOR NETWORKS LLC since December 20, 2016
Disclosure History
ALBERT JAMES MINUTOLA has 4 Disclosure Event(s).
Date: October 24, 2016 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: October 13, 2016 Category: Employment Separation After Allegations Firm Name: QUESTAR CAPITAL CORPORATION Termination Type: Discharged Allegations: FAILURE TO AMEND FORM U4 TO DISCLOSE A REPORTABLE EVENT ON A TIMELY BASIS.
Date: June 23, 2004 Category: Employment Separation After Allegations Firm Name: HORNOR, TOWNSEND & KENT, INC. Termination Type: Discharged Allegations: NONE
Date: April 12, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE ASKED THE CLIENT FOR $5,000 AND THAT HE WOULD INVEST IT IN A REAL ESTATE DEAL FROM WHICH HE WOULD PROSPER AND/OR HE WOULD REPLACE THE $5,000. CLIENT STATES THAT THE REP FAILED TO COMPLY AND WHEN HE INITIATED HIS PERSONAL COLLECTION PROCESS THE REP AGREED TO MAKE DEPOSITS TO THE CLIENT'S SAVINGS ACCOUNT OF $500 A MONTH. ACCORDING TO THE REP, IN 1993 THE CLIENT WAS SYSTEMATICALLY DEPLETING HIS ASSETS SO HE RECOMMENDED THAT THE CLIENT ENTRUST HIM WITH A SUM OF MONEY ($5,000) AND THAT HE WOULD DOLE THE FUNDS OUT TO THE CLIENT AS NEEDED. THE REP STATES THAT HE RETURNED THIS MONEY TO THE CLIENT BUT DOESN'T HAVE DOCUMENTATION TO SUPPORT THE COMPLETE REIMBURSEMENT. CLIENT STATES THAT HE HAS RECEIVED $1,000 SO FAR, BRINGING THE DAMAGES AMOUNT DOWN TO $4,000. Damage Amount Requested: $4,000.00 Settlement Amount: $1,400.00
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