ANTHONY JOSEPH SPENA is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 4605 Main Ave, Ashtabula, OH, 44004.
ANTHONY JOSEPH SPENA has worked at ALLSTATE FINANCIAL SERVICES, LLC since December 05, 2017
Disclosure History
ANTHONY JOSEPH SPENA has 2 Disclosure Event(s).
Date: September 27, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REGISTERED REPRESENTATIVE DELAYED THE PROCESSING OF THE APPROPRIATE DOCUMENTSTAION IN HIS IRA CAUSING HIM TO INCUR INCREASED TAXES Damage Amount Requested: $219,540.00
Date: January 14, 2005 Category: Employment Separation After Allegations Firm Name: NATCITY INVESTMENTS INC Termination Type: Discharged Allegations: HELD CLIENT CHECK IN THEIR FOLDER AND ATTEMPTED TO PURCHASE STOCK FROM CLIENT Broker Comment: HELD A CLIENTS CHECK IN HER FILE AWAITING SS# OF A BENEFICIARY. CALLED CLIENT SEVERAL TIMES AND NO RETURNED CALL. I CALLED NATCITY ON A RECORDED LINE REGARDING STOCK CERTIFICATES, I FOLLOWED THEIR ADVICE AND NAT CITY SAID THEY COULD NOT PROCESS THE PAPERWORK AND SENT PAPERWORK BACK TO ME.
More Information
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