JOHN JAMES RILEY is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 245 WATERMAN AVE STE 301, SUITE 301A, PROVIDENCE, RI, 02916.
JOHN JAMES RILEY has worked at CANTELLA & CO., INC. since May 10, 1999
Disclosure History
JOHN JAMES RILEY has 2 Disclosure Event(s).
Date: May 16, 2016 Category: Customer Dispute Allegations: Client alleges unsuitable investments and losses in accounts. Damage Amount Requested: $8,000.00 Broker Comment: Upon review of the client's three accounts, she had a gain of $3,853.68 net after fees.
Date: July 31, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE DID NOT DELIVERY ANY SERVICES TO THE PLAN OR ITS PARTICIPANTS. THE REPRESENTATIVE WAS THE REP OF RECORD AND INVESTMENT PROFESSIONAL FROM JUNE 2011 THROUGH NOVEMBER OF 2011. Damage Amount Requested: $7,992.56
More Information
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