ROCCO JOSEPH ORLANDO

ROCCO JOSEPH ORLANDO is currently employed as a Broker and/or Investment Adviser at CADARET, GRANT & CO., INC. located at 525 STEWART AVENUE, NEW HYDE PARK, NY, 11040.

ROCCO JOSEPH ORLANDO has worked at CADARET, GRANT & CO., INC. since May 17, 2013

Disclosure History

ROCCO JOSEPH ORLANDO has 1 Disclosure Event(s).

Date: March 20, 2014
Category: Customer Dispute
Allegations: FAILED TO MAKE CLIENT FULLY AWARE OF THE TAX CONSEQUENCES INVOLVED WITH THE TRANSACTION.
Damage Amount Requested: $9,823.00
Settlement Amount: $9,823.00

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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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