FRANCIS JUSTIN PATRIARCA is currently employed as a Broker and/or Investment Adviser at THE INVESTMENT CENTER, INC. located at 714B SOUTHBRIDGE STREET, AUBURN, MA, 01501.
FRANCIS JUSTIN PATRIARCA has worked at THE INVESTMENT CENTER, INC. since April 08, 2016
FRANCIS JUSTIN PATRIARCA has 2 Disclosure Event(s).
Date: July 08, 2004 Category: Customer Dispute Allegations: IN APRIL 2000, CUSTOMER TRANSFERRED A WHOLE LIFE POLICY FROM PURDENTIAL INTO A VARIABLE UNIVERSAL LIFE POLICY WITH WESTERN RESERVE LIFE ASSURNACE CO. OF OHIO (WRL). THE CUSTOMER NOW ALLEGES THE FOLLOWING MISREPRESENTATIONS; THAT THE REGISTERED REPRESENTATIVE SUPPLIED FALSE DOCUMENTS TO WRL; THAT SHE, THE CUSTOMER DID NOT RECEIVE A FINAL POLICY FROM THE REPRESENTATIVE OR WRL; AND SHE HAS LOST ONE THIRD OF HER INVESTMENT SINCE THE TRANSFER (ACCORDING TO HER REPRESENTATIVE SHE WOULD NEVER HAVE TO PAY AND HER MONEY WOULD MOST LIKELY GROW). Damage Amount Requested: $7,807.05 Broker Comment: COMPLAINT DENIED
Date: March 03, 2003 Category: Customer Dispute Allegations: REGARDING MUTUAL FUNDS PURCHASED IN APRIL 2000, A VARIABLE ANNUITY PURCHASED IN MAY 2000, AND VARIABLE UNIVERSAL LIFE INSURANCE POLICY PURCHASED IN JUNE 2000, THE CUSTOMERS ALLEGE THE MUTUAL FUNDS WERE NOT INVESTED IN LOW-RISK FUNDS AS THE CUSTOMERS REQUESTED, THE VARIABLE ANNUITY WAS GUARANTEED NOT TO LOSE ANY PRINCIPAL, THE VARIABLE UNIVERSAL LIFE INSURANCE POLICY WOULD BE COMPLETELY PAID FOR WITH ONE PREMIUM. Damage Amount Requested: $25,656.61 Broker Comment: A REVIEW OF THE CUSTOMER'S FILE, DOCUMENTED RECORDS AND INFORMATION PROVIDED BY THE REPRESENTATIVE INDICATE THE CUSTOMER WAS GIVEN THE INFORMATION WITH WHICH TO MAKE PURCHASE DECISIONS. COMPLAINT DENIED.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for FRANCIS JUSTIN PATRIARCA, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More