DAVID J PERROTTO

DAVID J PERROTTO is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 156-25 95TH ST, HOWARD BEACH, NY, 11414.

DAVID J PERROTTO has worked at CETERA ADVISORS LLC since March 01, 2012

Disclosure History

DAVID J PERROTTO has 1 Disclosure Event(s).

Date: December 05, 2011
Category: Employment Separation After Allegations
Firm Name: CHASE INVESTMENT SERVICES CORP
Termination Type: Discharged
Allegations: DURING A ROUTINE AUDIT FIRM DETERMINED THAT REGISTERED REP MAINTAINED A PHOTOCOPIED CLIENT SIGNED DOCUMENT THAT CONTAINED INKED IN INFORMATION.
Broker Comment: FORM WAS DATED 01/04/2010. THE FORM WAS NOT PHOTOCOPIED, IT WAS FAXED. CLIENT IN QUESTION HAD 51 FORMS SIGNED BY HIM BEFORE AND AFTER THE FORM. THE FORM WAS A SPECIALTY FUND FORM FOR AN UNSOLICITED TRADE. NO FRAUD TOOK PLACE. NO WARNINGS OR LETTER OF EDUCATION WAS GIVEN.

More Information

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