ANTHONY MICHAEL FAUCI is currently employed as a Broker and/or Investment Adviser at FIRST ALLIED SECURITIES, INC. located at 363 Seventh Avenue, 16 th Floor, New York, NY, 10001.
ANTHONY MICHAEL FAUCI has worked at FIRST ALLIED SECURITIES, INC. since December 09, 2008
Disclosure History
ANTHONY MICHAEL FAUCI has 1 Disclosure Event(s).
Date: January 30, 2001 Category: Customer Dispute Allegations: THE CLIENT'S RELATIVE HAS ALLEGED THAT I DID NOT ACT IN THE CLIENT'S BEST INTEREST, BUT THAT I ADVISED THE CLIENT TO INVEST IN UNSUITABLE INVESTMENTS. Damage Amount Requested: $7,000.00 Broker Comment: MY COMPANY'S COMPLOANCE DEPARTMENT FOUND THAT THE INVESTMENTS I ADVISED THE CLIENT TO INVEST IN WERE SUITABLE AND THE CLIENT WAS GIVEN ALL PROPER DISCLOSURES. THE CLIEN'T COMPLAINT AGAINST ME WAS DENIED.
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