ANTHONY JOHN D'AQUILA

ANTHONY JOHN D'AQUILA is currently employed as a Broker and/or Investment Adviser at CITIGROUP GLOBAL MARKETS INC. located at CITI RETAIL BANKING, 22 PLEASANTVILLE ROAD, OSSINING, NY, 10562.

ANTHONY JOHN D'AQUILA has worked at CITIGROUP GLOBAL MARKETS INC. since May 29, 2007

Disclosure History

ANTHONY JOHN D'AQUILA has 2 Disclosure Event(s).

Date: March 17, 2008
Category: Customer Dispute
Allegations: CLIENTS ALLEGED FAILURE TO SUPERVISE WITH RESPECT TO THEIR PURCHASES OF TWO ANNUITIES THAT THEY ALLEGED WERE MISREPRESENTED BY THEIR FA. OCTOBER 2007. DAMAGES UNSPECIFIED.
Settlement Amount: $2,942.35
Broker Comment: THE MATTER WAS SETTLED IN ORDER TO AVOID THE COSTS AND UNCERTAINTIES ASSOCIATED WITH POTENTIAL LITIGATION. THE FIRM FOUND NO MERIT TO THE ALLEGATION OF FAILURE TO SUPERVISE AGAINST ANTHONY D'AQUILA.

Date: January 18, 2008
Category: Customer Dispute
Allegations: CLAIMANT ACCUSES PAUL OLIVO'S SUPERVISOR, ANTHONY D'AQUILA, OF BEING INVOLVED IN THE CONCEALMENT OF WRONGDOING AND FAILURE TO SUPERVISE. 12/05 -01/08
Damage Amount Requested: $200,000.00

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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