PHILIP VICTOR ESCALDI

PHILIP VICTOR ESCALDI is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 1377 MOTOR PARKWAY, SUITE 212, ISLANDIA, NY, 11749.

PHILIP VICTOR ESCALDI has worked at ROYAL ALLIANCE ASSOCIATES, INC. since February 06, 1998

Disclosure History

PHILIP VICTOR ESCALDI has 1 Disclosure Event(s).

Date: June 29, 2009
Category: Customer Dispute
Allegations: CLAIMANT ALLEGED BREACH OF FIDUCIARY DUTY, BREACH OF DUTY OF LOYALTY, NEGLIGENCE, FRAUD, AND ELDER ABUSE IN CONNECTION WITH THE PURCHASE OF ANNUITIES.
Damage Amount Requested: $3,084,000.00
Settlement Amount: $425,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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