ANTHONY ALFONZO FALSETTA

ANTHONY ALFONZO FALSETTA is currently employed as a Broker and/or Investment Adviser at DREXEL HAMILTON, LLC located at 77 WATER STREET, SUITE 201, NEW YORK, NY, 10005.

ANTHONY ALFONZO FALSETTA has worked at DREXEL HAMILTON, LLC since August 18, 2015

Disclosure History

ANTHONY ALFONZO FALSETTA has 4 Disclosure Event(s).

Date: November 09, 2007
Category: Judgment / Lien
Judgment/Lien Amount: $3,355.00
Judgment/Lien Type: Civil
Broker Comment: HIRED LEGAL COUNSEL TO INVESTIGATE.

Date: September 12, 2007
Category: Judgment / Lien
Judgment/Lien Amount: $372.00
Judgment/Lien Type: Civil
Broker Comment: This matter was unbeknownst to me. Apparently I was being served at an address which I have not lived at for 10 years. I have retained a lawyer to settle all matters.

Date: July 27, 2005
Category: Judgment / Lien
Judgment/Lien Amount: $10,048.00
Judgment/Lien Type: Civil
Broker Comment: HIRED LEGAL COUNSEL TO INVESTIGATE.

Date: June 22, 2004
Category: Judgment / Lien
Judgment/Lien Amount: $1,733.77
Judgment/Lien Type: Civil
Broker Comment: This matter was unbeknownst to me. Apparently I was being served at an address which I have not lived at for 10 years. I have retained a lawyer to settle all matters.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

To view the full report for ANTHONY ALFONZO FALSETTA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.