RICHARD ERNEST DICHIARO is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at ONE FINANCIAL CENTER PLAZA, 10 WEYBOSSET STREET, SUITE 600, PROVIDENCE, RI, 02903-2880.
RICHARD ERNEST DICHIARO has worked at RBC CAPITAL MARKETS, LLC since September 09, 2013
Disclosure History
RICHARD ERNEST DICHIARO has 2 Disclosure Event(s).
Date: April 20, 2001 Category: Customer Dispute Allegations: LOSSES FROM ALLEGEDLY UNAUTHORIZED TRADE. Damage Amount Requested: $40,000.00 Settlement Amount: $18,800.00
Date: April 06, 1999 Category: Customer Dispute Allegations: OVER A YEAR AFTEER A SECURITY WAS PURCHASED,CUSTOMER ALLEGED THAT RICHARD DICHLARO EFFECTED ANUNAUTHORIZED PURCHASE OF THIS SECURITY AND THAT A LOSS OF$12,187.50 HAD BEEN SUSTAINED. Damage Amount Requested: $12,187.50 Broker Comment: I VEHEMENTLY DENY CUSTOMER'S ALLEGATIONS ANDVIVIDLY RECALL SPEAKING WITH HIM PRIOR TO THE PURCHASE, I HADCOMPLETE AUTHORIZATION TO EFFECT THE PURCHASE ON HIS BEHALF. HEONLY COMPLAINED NOW BECAUSE THE SECURITY HAS DECLINDED INVALUE. IT IS OUTRAGEOUS TO MAKE THIS CLAIM WHEN CONFIRMS ANDSTATEMENTS WERE SENT BY THE FIRM AND RECEIVED BY THE CLIENT.
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