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.
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.
To view the full report for RONALD JOSEPH POMPEI, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.