JOSEPH PAUL LIVOTI is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 324 SOUTH SERVICE ROAD, SUITE 100, MELVILLE, NY, 11747.
JOSEPH PAUL LIVOTI has worked at JANNEY MONTGOMERY SCOTT LLC since July 18, 2005
Disclosure History
JOSEPH PAUL LIVOTI has 2 Disclosure Event(s).
Date: October 01, 2001 Category: Customer Dispute Allegations: CLIENT VERBALLY COMPLAINED ABOUT THE HANDLING OF HIS ACCOUNT AND THE RECOMMENDATIONS OF HIS FINANCIAL ADVISOR. Damage Amount Requested: $125,000.00 Settlement Amount: $90,000.00 Broker Comment: ALMOST ALL TRANSACTIONS WERE UNSOLICITED CLIENT IDEAS.
Date: April 01, 1988 Category: Customer Dispute Allegations: UNSUITABLE RECOMMENDATION Damage Amount Requested: $53,125.00 Damages Granted: $17,250.14 Broker Comment: THE CASE WAS HEARD AT AN ARBITRATION HEARING ON JUNE 23, 1988 BEFORE THE NYSE. THE PANEL AWARDED THE CLAIMANT $17,250.14 PLUS 9% INTEREST. LIVOTI WILL CONTRIBUTE $1,700 TOWARDS THE AWARD.
More Information
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