MICHAEL ADOLPH FEDERICO is currently employed as a Broker and/or Investment Adviser at FIRST FINANCIAL EQUITY CORPORATION located at 12515 W. BELL ROAD, SUITE 108, SURPRISE, AZ, 85378.
MICHAEL ADOLPH FEDERICO has worked at FIRST FINANCIAL EQUITY CORPORATION since February 16, 2018
Disclosure History
MICHAEL ADOLPH FEDERICO has 1 Disclosure Event(s).
Date: June 07, 2010 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT, IN JULY 2006 AND APRIL 2007, RESPONDENT INVESTED HIS BROKERAGE ACCOUNT IN TWO VARIABLE ANNUITIES THAT WERE UNSUITABLE. CLAIMANT'S CLAIMS INCLUDE UNSUITABILITY, BREACH OF FIDUCIARY DUTY, FRAUD, AND FAILURE TO SUPERVISE, ETC. Damage Amount Requested: $200,000.00 Settlement Amount: $11,000.00 Broker Comment: AMERIPRISE CHOSE TO SETTLE THIS MATTER IN ORDER TO AVOID THE COSTS ASSOCIATED WITH ARBITRATION.
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