RAPHAEL JOSEPH CASTALDI is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 12 CANAL ST, STE 104, WESTERLY, RI, 02891.
RAPHAEL JOSEPH CASTALDI has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since December 06, 2001
Disclosure History
RAPHAEL JOSEPH CASTALDI has 1 Disclosure Event(s).
Date: June 09, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES IMPROPER HANDLING AND POOR PERFORMANCE OF MANAGED ACCOUNTS. ADDITIONALLY CLIENT ALLEGES THAT PERIODIC MEETINGS PROVIDED INSUFFICIENT SERVICE. DATES OF ACTIVITY ARE 5/8/1998 TO 4/30/2006. Damage Amount Requested: $48,744.07 Broker Comment: CLIENT ALLEGES THAT LOSSES IN MANAGED ACCOUNT OVER A NINE YEAR PERIOD RESULTED FROM IMPROPER HANDLING. ADDITIONALLY, CLIENT ALLEGES THAT PERIODIC MEETINGS AND WRITTEN UPDATES DELIVERED AS SPECIFIED IN ADVISORY AGREEMENT PROVIDED INSUFFICIENT SERVICE. NO CLAIM OF UNSUITABLITY OR MISREPRESENTATION IS IMPLIED. FIRM AND REPRESENTATIVE DENY MERIT OF CLAIM.
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