DAVID MICHAEL PINTARIC is currently employed as a Broker and/or Investment Adviser at SA STONE WEALTH MANAGEMENT INC. located at 4407 Belmont Avenue, Youngstown, OH, 44505.
DAVID MICHAEL PINTARIC has worked at SA STONE WEALTH MANAGEMENT INC. since September 12, 2014
DAVID MICHAEL PINTARIC has 2 Disclosure Event(s).
Date: December 19, 2016 Category: Customer Dispute Allegations: Plaintiff alleges the control persons of broker-dealer failed to properly supervise a representative who was selling promissory notes to a client. The control persons were not aware of these transactions. Damage Amount Requested: $828,583.00 Settlement Amount: $263,395.00 Broker Comment: Initial filing was civil case where Pintaric was named in the case. Evolved to arbitration was filed where Pintaric is named. Could not remove data from section 7 due to system restrictions. FINRA arbitration is still pending.
Date: April 01, 2016 Category: Customer Dispute Allegations: Plaintiff alleges the control persons of broker-dealer failed to properly supervise a representative that caused them and a family member to invest large sums in an unsuitable investment between 11/20/09 and 07/16/12 Damage Amount Requested: $345,000.00 Settlement Amount: $286,605.00 Broker Comment: FIRM AND ITS OFFICERS DENY THE MATERIAL ALLEGATIONS IN THE STATEMENT OF CLAIM. This matter started as a civil case where it evolved into an arbitration. The civil case is closed due to it evolving to the arbitration.
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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