ROY JOSEPH FAILLA is currently employed as a Broker and/or Investment Adviser at FIRST STANDARD FINANCIAL COMPANY LLC located at 21 E. Front Street, Suite 100, 200 & 220, Red Bank, NJ, 07701.
ROY JOSEPH FAILLA has worked at FIRST STANDARD FINANCIAL COMPANY LLC since October 20, 2014
Disclosure History
ROY JOSEPH FAILLA has 2 Disclosure Event(s).
Date: May 25, 2010 Category: Customer Dispute Allegations: CHURNING, UNSUITABLE TRADES AND MISREPRESENTATION Damage Amount Requested: $417,000.00 Settlement Amount: $40,000.00
Date: February 19, 2010 Category: Customer Dispute Allegations: EXCESSIVE AND UNAUTHORIZED TRADING, FRAUD, BREACH OF FIDUCIARY DUTY, MISREPRESENTATION AND UNSUITABILITY Damage Amount Requested: $299,817.48 Settlement Amount: $75,000.00
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