FRANK PETER DIASSI is currently employed as a Broker and/or Investment Adviser at TFS SECURITIES, INC. located at 437 NEWMAN SPRINGS ROAD, LINCROFT, NJ, 07738.
FRANK PETER DIASSI has worked at TFS SECURITIES, INC. since February 18, 2008
FRANK PETER DIASSI has 4 Disclosure Event(s).
Date: September 23, 2003 Category: Employment Separation After Allegations Firm Name: EDWARD JONES Termination Type: Discharged Allegations: FAILURE TO DISCLOSE PERTINENT INFORMATION DURING THE HIRING PROCESS Broker Comment: IT IS MY FIRM BELIEF THAT I HAVE BEEN TRUTHFUL IN ALL RESPONSES AND NEVER INTENTIONALLY FAILED TO DISCLOSE PERTINENT INFORMATION AT ANY TIME. ADDITIONAL INFORMATION WILL BE PROVIDED UPON REQUEST.LANGUAGE MODIFICATION DONE IN AMENDED U-5 - REGISTRATION COMMENTS SECTION.
Date: December 06, 2002 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT I DID NOT FOLLOW HIS INSTRUCTIONS GIVEN IN THE SPRING OF 2002, TO SELL ALL MUTUAL FUNDS IN HIS ACCOUNT. Damage Amount Requested: $8,659.00 Broker Comment: CLAIM DENIED. CLIENT'S ACCOUNT WAS AT ANOTHER BRANCH WHEN HE ASKED TO SELL. I HAD VOLUNTARILY LEFT FIRM BEFORE CLIENT'S ACCOUNT WAS TRANSFERRED TO MY BRANCH. CLIENT HAD CONTINUOUS CONTROL OF ACCOUNT AND HE COULD HAVE SOLD HIS INVESTMENTS AT ANY TIME THROUGH HIS EXISTING ADVISOR.
Date: August 19, 2002 Category: Customer Dispute Allegations: CUSTOMER'S COMPLAINT STATED THAT HE WAS UPSET WITH THE MARKET PERFORMANCE OF THE PRODUCT HE PURCHASED. HE SAID THAT HE DID NOT KNOW THAT HIS PRINCIPAL WOULD FLUCTUATE. Damage Amount Requested: $57,273.96 Broker Comment: THE CUSTOMER WAS INFORMED REPEATEDLY BOTH ORALLY AND IN WRITING OF THE MARKET FLUCTUATION OF THIS PRODUCT. IT WAS A SUITABLE TRADE.
Date: June 10, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT SHE WANTED TO SELL ALL OF HER POSITIONS AND THE ORDER WAS NOT EXCUTED. Damage Amount Requested: $15,597.86 Damages Granted: $19,474.14 Broker Comment: NASD ARBITRATION PANEL AWARDED CLAIMANT $15,699.84 PLUS 8% INTEREST PER ANNUM FROM 04/12/2000 UNTIL THE DATE OF PAYMENT OF THE AWARD.
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