Date: September 08, 2014 Category: Financial Type: Bankruptcy Disposition: Discharged Regulator Statement: Proceedings in FINRA Arbitration Case # 14-02522 against Anthony Richard Stella were stayed by Bankruptcy proceedings in the U.S. Bankruptcy Court, CALIFORNIA CENTRAL - WOODLAND HILLS, case# 14-14145
Date: July 23, 2010 Category: Customer Dispute Allegations: CLAIMANT, A CALIFORNIA RESIDENT, ALLEGES THAT BEGINNING IN JUNE 2006 THROUGH JULY 2010, FA MADE UNSUITABLE RECOMMENDATIONS TO SELL THE MUNICIPAL BOND PORTFOLIO INHERITED FROM HER FATHER AND PURCHASE CLOSED END FUNDS. CLAIMANT SEEKS DAMAGES IN EXCESS OF $128,198. Damage Amount Requested: $128,198.00 Settlement Amount: $55,000.00 Broker Comment: THIS MATTER SETTLED ON MAY 31, 2012 FOR $55,000.00.
Date: July 02, 1996 Category: Customer Dispute Allegations: CLIENT HAS ALLEGED `FRAUD` AND `BREACH OFCONTRACT` CLAIMS FOR IRA ROLLOVER INVESTED IN ALLIANCE NORTHAMERICA GOVERNMENT INCOME TRUST, PUTNAM U.S GOVERNMENT INCOMETRUST AND PAINEWEBBER HIGH INCOME FUNDS IN 1995. CLIENT ISSEEKING $250,000.00 IN DAMAGES, INTEREST AND SUFFERING. Damage Amount Requested: $250,000.00 Settlement Amount: $23,000.00 Broker Comment: PAINEWEBBER SETTLED THIS MATTER FOR $23,000.00.I ANTHONY STELLA AT NO TIME CONSENTED TO SAIDSETTLEMENT. I ANTHONY STELLA ADVISED AGAINST SETTLEMENT.HOWEVER, WITHOUT AN ADMISSION OF FAULT PAINEWEBBER SETTLED THEMATTER. THE CASE WAS SETTLED TO AVOID COSTLY AND LENTHLYLITIGATION THE CASE WAS NOT SETTLED ON ITS MERITS BUT FORECONOMIC REASONS ONLY BY PAINEWEBBER.
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