RALPH PICON LOFFREDO is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 10483 HELEY ST, SPRING HILL, FL, 34608.
RALPH PICON LOFFREDO has worked at CALTON & ASSOCIATES, INC. since January 24, 2007
Disclosure History
RALPH PICON LOFFREDO has 2 Disclosure Event(s).
Date: April 07, 1989 Category: Customer Dispute Allegations: THAT MYSELF AND INVESTORS CENTER WERE LIABLEFOR VIOLATING FI STATUTE SECTION 517.07; MISREPRESENTING THERETURN ON HIS INVESTMENT; AND FRUAD. ALSO CLAIMANT ALLEGEDSTOCKS ICI SOLD HIM WERE NOT REGISTERED FOR SALE TO FLORIDARESIDENTS. Damage Amount Requested: $892.89 Damages Granted: $829.89 Broker Comment: I WAS FOUND NOT LIABLE FOR FRAUD ORMISREPRESENTATION AND THEREFORE THE CLAIMS FOR SUCH WEREDISMISSED. I WAS FOULD LIABLE FOR SALE OF UNREGISTERED SECURITYAND PAID CLAIMANT SUM OF $829.89 SEE ATTACHED ARBITRATIONHEARING PAPER.AT THE TIME OF INCIDENT I WAS EMPLOYED BYINVESTORS CENTER IN SMITHTOWN, NY OFFICE. AT THE TIME OFINCIDENT AS TO THE BEST OF MY KNOWLEDGE. I WAS NOT AWARE ANYSTATUTES WERE BEING VIOLATED. I AND OTHER ACCOUNTREPRESENTATIVES WERE TOLD THAT STOCK SOLD WAS REGISTEREDPROPERLY FOR SALE. ANY VIOLATION ON MY PART WAS DONEUNKNOWLINGLY TO ME OTHERWISE I WOULD NOT HAVE SOLD THE STOCK.
Date: February 09, 1989 Category: Regulatory
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.
To view the full report for RALPH PICON LOFFREDO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.