JOHN VINCENT PRINZIVALLI

JOHN VINCENT PRINZIVALLI is currently employed as a Broker and/or Investment Adviser at CAPE SECURITIES INC. located at 755 Waverly Avenue, Suite 308, Holtsville, NY, 11742.

JOHN VINCENT PRINZIVALLI has worked at CAPE SECURITIES INC. since August 24, 2012

Disclosure History

JOHN VINCENT PRINZIVALLI has 6 Disclosure Event(s).

Date: October 27, 2014
Category: Customer Dispute
Allegations: CUSTOMER CLAIMS THAT HIS REPRESENTATIVES PRACTICED HIGH PRESSURE SALES, CHURNED HIS ACCOUNT, AND RECOMMENDED UNSUITABLE TRADES.
Damage Amount Requested: $130,000.00
Settlement Amount: $30,000.00
Broker Comment: MY ROLE IN THIS ACCOUNT WAS ONLY THE INITIAL OPENING AND THE FIRST TRADE.

Date: November 01, 2010
Category: Customer Dispute
Allegations: FRAUD,CHURNING,MISREPRESENTATION,SUITABILITY AND BREACH OF FIDUCIARY DUTY
Damage Amount Requested: $250,000.00
Settlement Amount: $40,000.00

Date: December 07, 2009
Category: Financial
Type: Compromise
Disposition: SETTLED FOR LESS THAN THE FULL BALANCE

Date: November 11, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $8,954.29
Judgment/Lien Type: Civil

Date: November 04, 2009
Category: Financial
Type: Compromise
Disposition: SETTLED FOR LESS THAN AMOUNT OWED

Date: July 01, 2009
Category: Financial
Type: Compromise
Disposition: SETTLED FOR LESS THAN THE FULL BALANCE.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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