ANTHONY THOMAS CONTI is currently employed as a Broker and/or Investment Adviser at BOENNING & SCATTERGOOD, INC. located at 400 Lydia Street, Suite 100, Carnegie, PA, 15106.
ANTHONY THOMAS CONTI has worked at BOENNING & SCATTERGOOD, INC. since June 20, 2017
Disclosure History
ANTHONY THOMAS CONTI has 2 Disclosure Event(s).
Date: February 19, 2018 Category: Customer Dispute Allegations: Claimant alleges that Ross, Sinclaire & Associates, LLC. withheld material information concerning the financial condition of an issuer from its sales force and claimant prior to sale. Investment was deemed to be unsuitable by the claimant because of the undisclosed material information and investor's conservative risk tolerance. Damage Amount Requested: $307,955.00 Broker Comment: "I was not named as a respondent on the Statement of Claim, nor were there any specific allegations of wrongdoing based on my actions. Claimant alleged that Ross, Sinclaire & Associates, LLC, my former employer, failed to disclose material information to both the customer and its sales force. All damages being sought are against Ross, Sinclaire & Associates, LLC."
Date: October 27, 2016 Category: Customer Dispute Allegations: Three clients of RSA commenced an arbitration claim against the Firm (RSA). The clients alleged that RSA misrepresented the safety and security of film tax credit notes purchased from the issuer, leading clients to believe their principal was not subject to significant risk. The clients allege that these misrepresentations and negligence caused the loss of principal. Damage Amount Requested: $2,200,000.00 Broker Comment: I was not named as a respondent in the Statement of Claim, nor were any specific allegations of wrongdoing in it addressed to any of my conduct.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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