THOMAS BASTIANO SCARPACI is currently employed as a Broker and/or Investment Adviser at CLIENT ONE SECURITIES LLC located at 300 West Service Rd 2nd Floor, Staten Island, NY, 10314.
THOMAS BASTIANO SCARPACI has worked at CLIENT ONE SECURITIES LLC since January 21, 2017
Disclosure History
THOMAS BASTIANO SCARPACI has 2 Disclosure Event(s).
Date: March 11, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGED AN IMPROPER TRANSACTION IN HER ACCOUNT Damage Amount Requested: $235,000.00 Broker Comment: CASE WAS DENIED BY THE INSURANCE CARRIER AND IS MERITLESS. THIS WAS REPORTED BY METLIFE ON AMENDED U-5
Date: March 18, 1998 Category: Customer Dispute Allegations: NASD CLAIM FOR RELIEF INDICATES THE FOLLOWINGALLEGATIONS: NEGLIGENCE, AZ. SECURITIES FRAUD, FEDERALSECURITIES FRAUD, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT,FRAUD, NEGLIGENT MISREPRESENTATION, FAILURE TO SUPERVISE,ALLEGED DAMAGES $142,122.73 & PUNITIVE DAMAGES OF $100,000. Damage Amount Requested: $142,122.73 Settlement Amount: $180,000.00 Broker Comment: ROYAL HUTTON TO PAY $180,000. THE SETTLEMENT WAS AGREED TO ON MY BEHALF ONLY BECAUSE NOTHING WAS GUARANTEED BY ME PERSONALLY. I STRONGLY PROTESTED BECAUSE I HAD NO CONTACT W/ THESE CLIENTS AS MY CRD SHOWS THE ACCOUNTS WERE OPEN BEFORE I WAS REGISTERED AT THE FIRM. I WAS WRONGLY NAMED IN THIS COMPLAINT.
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