KERRY EARL CASTONGUAY is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 28 State Street, 40th Floor, SUITE A, BOSTON, MA, 02109.
KERRY EARL CASTONGUAY has worked at CANTELLA & CO., INC. since February 25, 2014
Disclosure History
KERRY EARL CASTONGUAY has 1 Disclosure Event(s).
Date: February 20, 2008 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THEY WERE MISLED REGARDING THEIR PORTFOLIO INCLUDING UNSUITABLE RECOMMENDATIONS AND UNDISCLOSED CAPITAL GAINS. THEY HAVE REQUESTED A CORRECTION OF THEIR ACCOUNTS. Damage Amount Requested: $5,000.00 Broker Comment: THE FIRM FOUND THE CLIENTS AUTHORIZED THE SALE OF THE STOCK CERTIFICATES AND ANNUITIZATION ARRANGEMENT BY SIGNING THE APPROPRIATE DOCUMENTS. THE CLIENTS WERE DIRECTED TO CONSULT WITH A QUALIFIED TAX ADVISOR REGARDING POSSIBLE TAX IMPLICATIONS. THE FIRM WAS UNABLE TO SUBSTANTIATE ANY UNAUTHORIZED TRANSACTIONS OR INAPPROPRIATE RECOMMENDATIONS. ALSO, THE FIRM CONFIRMED CLIENT MEETINGS WERE CONDUCTED MORE THAN THE ALLEGED TWO TIME ALLOWED.
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