BRUCE PAUL DE FALCO is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 375 N. STEPHANIE ST BLDG 7, STE 712, HENDERSON, NV, 89014.
BRUCE PAUL DE FALCO has worked at CETERA ADVISORS LLC since October 03, 2016
Disclosure History
BRUCE PAUL DE FALCO has 2 Disclosure Event(s).
Date: March 16, 2012 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: REP WAS NOTIFIED ON 9/05/2012 THAT THE CHAPTER 13 FILING WAS CONVERTED TO A CHAPTER 7 FILING. U4 AMEND FILED TO REFLECT CHAPTER 7. DISCHARGED ON 10/10/2012.
Date: July 23, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED I RECOMMENDED A PARTIAL SURRENDER OF HIS ANNUITY. THE CLIENT CLAIMED I TOLD HIM THERE WOULD BE NO TAX CONSEQUENCES FOR THE TRANSACTION. Damage Amount Requested: $50,000.00 Broker Comment: THE ANNUITY IN QUESTION FALLS WITHIN A COURT APPROVED CLASS ACTION SETTLEMENT. UNDER THE TERMS OF THE SETTLEMENT, THE CLIENT ELECTED TO SEEK GENERAL RELIEF WITHIN THE CLASS AND THUS NO ACTION WAS TAKEN THROUGH THE NORMAL COMPLAINT RESOLUTION PROCESS.
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