BRUCE PAUL DE FALCO

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.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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