PATRICK W PIRONE

PATRICK W PIRONE is currently employed as a Broker and/or Investment Adviser at INVESTMENT PROFESSIONALS, INC. located at 230 Broadway Rte 1S, Suite 205, Lynnfield, MA, 01940.

PATRICK W PIRONE has worked at INVESTMENT PROFESSIONALS, INC. since October 01, 2007

Disclosure History

PATRICK W PIRONE has 4 Disclosure Event(s).

Date: September 17, 2015
Category: Customer Dispute
Allegations: Misrepresentation of terms of CDs, the illiquid nature of the BDC and the appropriateness of the annuities
Damage Amount Requested: $40,000.00

Date: September 01, 2010
Category: Financial
Type: Bankruptcy
Disposition: Dismissed
Broker Comment: ENGAGED THE SERVICES OF LEGAL COUNSEL TO EXPLORE PROTECTION FROM CREDITOR SETTLEMENT OPTIONS.ATTORNEY APPLIED FOR A DOCKET #/CASE # THROUGH BANKRUPTCY COURT. PROCEEDED WITH OTHER OPTIONS RATHER THAN FILING AND CLOSED THE CASE. THE CASE WAS NEVER PUT BEFORE JUDGE OR BANKRUPTCY COURT.

Date: August 02, 2006
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HIPPA FORM SIGNED ON 09/10/2003 CONTAINED A NON-GENUINE SIGNATURE

Date: September 23, 2005
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT REPRESENTATIVE FAILED TO DISCLOSE SURRENDER FEES AND LACK OF FEDERAL INSURANCE ON INVESTMENT PURCHASED ON 12/19/2003. CUSTOMER ALSO ALLEGES HE FELT PRESSURED TO PURCHASE SECURITIES.
Damage Amount Requested: $8,218.00
Broker Comment: COMPLAINT WAS REVIEWED AGAIN FOLLOWING DENIAL. DENIAL WAS AFFIRMED.

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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