RICHARD THOMAS IANNACONE is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 9 TRAFALGAR SQUARE, SUITE 200, NASHUA, NH, 03063-1976.
RICHARD THOMAS IANNACONE has worked at RBC CAPITAL MARKETS, LLC since June 19, 2008
Disclosure History
RICHARD THOMAS IANNACONE has 2 Disclosure Event(s).
Date: April 21, 2005 Category: Customer Dispute Allegations: ALLEGED FIDUCIARY RESPONSIBILITIES WERE VIOLATED IN RELATION TO HER INVESTMENT OBJECTIVE. ALLEGED LOSSES, NOT SPECIFIED, BUT BELIEVED TO EXCEED $5,000. (MAY, 1997-APRIL 2001) Broker Comment: CUSTOMER GAVE A.G. EDWARDS WRITTEN LIMITED TRADING AUTHORIZATION TO PERMIT HER HUSBAND TO BUY AND SELL SECURITIES IN HER ACCOUNT. CUSTOMER WAS AWARE OF EVERY TRADE ENTERED INTO BY HER HUSBAND AT ALL TIMES. THE MAJORITY OF TRADES IN THE ACCOUNT WERE DIRECTED BY HER HUSBAND ON HER BEHALF.
Date: February 12, 1990 Category: Customer Dispute Allegations: IN 1990, CLAIMANT ALLEGED MISREPRESENTATIONAND UNSUITABILITY IN CONNECTION WITH INVESTMENTS PURCHASED IN1981 THROUGH ANOTHER FIRM. SHE ALLEGES LOSS OF $100,000.00. Damage Amount Requested: $100,000.00 Settlement Amount: $16,415.26 Broker Comment: SETTLED FOR $16,415.26 AGAINST A.G. EDWARDS ANDRICHARD IANNACONE. MR. IANNACONE IS TO PAY $2,499.00.THE INVESTMENT PLAN AT ISSUE WAS DESIGNED BYTHREE HIGHLY EXPERIENCED INVESTMENT PROFESSIONALS.APPROXIMATELY 15% OF INVESTMENT ASSETS (NOT INCLUDING HOME)INVESTED IN NATURAL RESOURCES (PETRO-LEWIS AND DAMSON OILINCOME FUND) AND APPROXIMATELY 15% IN REAL ESTATE (MCNEIL,CONCAP AND UNIVERSITY HIGH EQUITY). 70% OF ASSETS INVESTED INSTOCKS, BONDS, ANNUITIES AND MONEY MARKET ACCOUNTS. MONEYINVESTED IN 1981, DID NOT FILE COMPLAINT UNTIL 1990. COMPLAINTONLY AGAINST LIMITED PARTNERSHIPS. THE TOTAL PORTFOLIO AND THESUCCESS OF OTHER ASSETS WAS NOT CONSIDERED.
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