ARTHUR MARIO SGROI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4 SPRINGHURST DR., STE. 209, EAST GREENBUSH, NY, 12061-0189.
ARTHUR MARIO SGROI has worked at LPL FINANCIAL LLC since November 17, 1992
Disclosure History
ARTHUR MARIO SGROI has 1 Disclosure Event(s).
Date: October 01, 1990 Category: Customer Dispute Allegations: CUSTOMER CLAIMED INVESTMENTS NOT SUITED FORHER. SAID SHE WANTED SAFETY OF PRINCIPAL & GUARANTEED INTEREST. Settlement Amount: $25,000.00 Broker Comment: SETTLED OUT OF COURT. I PAID $25,000 TO CUSTOMERON 10/15/92. NO CIVIL OR CRIMINAL ACTION BY ANY REGULATORYAGENCY.CUSTOMER WAS FULLY APPRAISED OF INVESTMENTS (REALESTATE PARTNERSHIPS) . CUSTOMER'S ACCOUNTANT & ATTORNEY WEREALSO AWARE OF HER INVESTMENTS. DECIDED TO COMPLAIN AFTER THEPRIVATE REAL ESTATE PARTNERSHIP WENT BANKRUPT. RATHER THAN GOTO COURT IN FLORIDA, MY ATTORNEY'S ADVISED ME TO SETTLE AS PERTHEIR RECOMMENDATIONS. $25,000 PD. TO CUSTOMER ON 10-15-92
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