RONALD JOSEPH POMPEI is currently employed as a Broker and/or Investment Adviser at CROWN CAPITAL SECURITIES, L.P. located at 150 WHITE PLAINS ROAD, SUITE 205, TARRYTOWN, NY, 10591.

RONALD JOSEPH POMPEI has worked at CROWN CAPITAL SECURITIES, L.P. since December 13, 2002

Disclosure History

RONALD JOSEPH POMPEI has 2 Disclosure Event(s).

Date: February 10, 2017
Category: Customer Dispute
Allegations: Client alleges lack of suitability relating to a 1031 Exchange Real Estate Security.
Damage Amount Requested: $100,100.00
Settlement Amount: $14,500.00
Broker Comment: Customer has been a client since for more than 15 years and has invested more than $1 million in several retirement and non-retirement accounts. In 2006, the Customer invested $100,000 from the sale of a rental property in a Section 1031 real estate property in part to avoid paying income tax. The Customer received dividend checks for many years until the property went into foreclosure in 2015 due to the loss of the main tenant in the building. The investment was suitable based on the customer's objectives, net worth, income and investment experience.

Date: April 05, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $66,170.35
Judgment/Lien Type: Tax

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.

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