ANTHONY N GUGGINO is currently employed as a Broker and/or Investment Adviser at INNOVATION PARTNERS LLC located at 5950 FAIRVIEW ROAD, SUITE 806, CHARLOTTE, NC, 28210.
ANTHONY N GUGGINO has worked at INNOVATION PARTNERS LLC since February 18, 2014
Disclosure History
ANTHONY N GUGGINO has 3 Disclosure Event(s).
Date: January 15, 2013 Category: Judgment / Lien Judgment/Lien Amount: $46,553.84 Judgment/Lien Type: Tax Broker Comment: TAX LIABILITY WAS THE RESULT OF TWO AUDITS IN WHICH DEDUCTIONS WERE DISALLOWED. I AGREED TO INSTALLATION PAYMENT AND HAVE BEEN MAKING PAYMENTS SINCE JANUARY 2013.
Date: March 04, 2006 Category: Employment Separation After Allegations Firm Name: NYLIFE SECURITIES INC. Termination Type: Discharged Allegations: IN CONNECTION WITH A CUSTOMER COMPLAINT ALLEGING THAT CERTAIN ACCOUNT TRANSFER FORMS WERE NOT SIGNED BY THE CUSTOMER, MR. GUGGINO ADMITTED THAT HE SIGNED THE FORMS IN QUESTION. AMONG OTHER THINGS, MR. GUGGINO STATED THAT HE WAS ACTING ON THE CLIENT'S WISHES. THE CUSTOMER CONFIRMED THAT MR. GUGGINO ACTED ACCORDING TO HER WISHES AND WITH HER CONSENT. THE FORMS IN QUESTION WERE SIGNED IN OR AROUND AUGUST AND SEPTEMBER 2003.
Date: September 22, 2005 Category: Customer Dispute Allegations: WITH REGARD TO THE PURCHASE OF MUTUAL FUNDS IN AUGUST 2003, THE CUSTOMER ALLEGES THAT THE SIGNATURE ON THE INVESTMENT PROFILE FORM IS NOT GENUINE. Damage Amount Requested: $4,066.98 Broker Comment: THE COMPANY HAS OFFERED TO WAIVE THE CONTINGENT DEFERRED SALES CHARGE ON THE LIQUIDATION OF THE CUSTOMER'S EXISITNG MUTUAL FUND ACCOUNT, IF ANY SHOULD EXIST AT THE TIME THE CUSTOMER DECIDES TO LIQUIDATE HER ACCOUNT.
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