Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that New York-based broker James Mariani has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mariani (CRD# 2932631).
James Mariani has spent 20 years in the securities industry and is currently based in Bayside, New York. Previous registrations include National Securities Corporation in Mineola, New York (2007-2017); First Montauk Securities Corporation in Port Washington, New York (2004-2007); Oppenheimer & Company in New York, New York (2002-2004); Josephthal & Company in New York, New York (1998-2002); and Continental Broker-Dealer Corporation in Carle Place, New York (1998). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 2, 1998, and Series 7 (General Securities Representative Examination), which he obtained on March 5, 1998. He is a registered broker with nine US states: California, Connecticut, Florida, Iowa, New Jersey, New York, North Carolina, Pennsylvania, and Texas.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In April 2018 a customer alleged James Mariani, while employed at National Securities Corporation, made unsuitable investment recommendations, breached his fiduciary duty, and acted negligently in connection to alternative investment products. The customer is seeking more than $432,000 in damages in the pending complaint.
In 2009 a customer alleged James Mariani, while employed at First Montauk Securities Corporation, committed fraud, breached contract, executed excessive trades, recommended unsuitable investments, and acted negligently. The complaint settled for $150,000.
In 2008 a customer alleged James Mariani, while employed at First Montauk Securities Corporation, committed fraud and deceit, breached his fiduciary duty, breached contract, and acted negligently. The complaint, from which he was dismissed, settled for $15,000.
In 2003 a customer alleged he, while employed at Josephthal & Company/Fahnestock & Company, churned investments, used margin without authorization, and executed unauthorized trades. The complaint settled in 2004 for $36,000.
If you or someone you know has a complaint regarding James Mariani, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.