FRANCIS PETER CAIAZZO is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 125 RIVER STREET, HOBOKEN, NJ, 07030.
FRANCIS PETER CAIAZZO has worked at J.P. MORGAN SECURITIES LLC since October 01, 2012
Date: March 23, 2009 Category: Customer Dispute Allegations: TIME FRAME: JUNE 2007 THROUGH OCTOBER 2008CLIENT'S COUNSEL ALLEGES THAT MISREPRESENTATIONS WERE MADE REGARDING HIS INVESTMENTS (AUCTION RATE SECURITIES). COUNSEL FURTHER ALLEGES THAT THE CLIENT IS NOT ABLE TO LIQUIDATE HIS ASSETS AND REQUESTS TO THIS BE REMEDIED IMMEDIATELY. DAMAGES ESTIMATED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00 Broker Comment: THE COMPLAINT AROSE BECAUSE OF UNPRECEDENTED MARKET EVENTS THAT CAUSED THE BREAKDOWN OF LIQUIDITY IN THE MARKET FOR AUCTION RATE SECURITIES
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