JOSEPH JAMES PERRI

JOSEPH JAMES PERRI is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 125 HALF MILE RD STE 200, RED BANK, NJ, 07701.

JOSEPH JAMES PERRI has worked at CETERA ADVISOR NETWORKS LLC since January 09, 2015

Disclosure History

JOSEPH JAMES PERRI has 1 Disclosure Event(s).

Date: September 08, 1998
Category: Customer Dispute
Allegations: VERBAL COMPLAINT ALLEGING UNSUITABLE INVESTMENTS AND TRADING WITHOUT WRITTEN DISCRETIONARY AUTHORITY
Settlement Amount: $75,000.00
Broker Comment: CLIENT ALLEGED UNSUITABLE INVESTMENT STRATEGY AND DISCRETIONARY TRADING. REVIEW OF THE ACTIVITY AND CIRCUMSTANCES LEAD THE FIRM AND BROKER TO AGREE TO SETTLE THE MATTER

More Information

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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.

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