John Paul Angelone Allegedly Engaged in Violations of the Securities Act
John Angelone, of New York, NY, allegedly engaged in violations of the Securities Act, according to a Regulatory Action Filed on Angelone’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.
The aforementioned action was filed on October 31, 2018, FINRA states.
Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to John Angelone’s alleged violations of the Securities Act. Investors who believe they may have lost money in activity related to John Angelone’s alleged violations of the Securities Act are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
John Angelone Barred by FINRA for Alleged Failure to Appear for FINRA On-the-record Testimony
John Paul Angelone, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, FINRA notes.
John Angelone failed to provide documents and information requested by FINRA, and thus was subsequently barred from acting as a broker or otherwise associating with a broker-dealer firm by FINRA, FINRA states.
Angelone has worked for two decades in the securities industry with 13 different firms, and has only one disclosure on his record, FINRA reports.
John Angelone was a registered representative and financial advisor with Olympus Securities in New York, NY from September 21, 2015 to January 3, 2017, FINRA states, and he was also affiliated with Network 1 Financial Securities in Weston, CT from January 12, 2017 to March 14 2017.
John Angelone has also worked at Halcyon Cabot Partners, LTD in New York, NY from September 16, 2014 until September 18, 2015, and Halcyon was subsequently expelled by FINRA on October 6, 2015, FINRA reports.
Angelone was also registered with The Vertical Group in New York, NY from March 22, 2010 until September 25, 2014, and with EKN Financial Services, Inc. in Woodbury, NY from October 2, 2009 until March 22, 2010, FINRA notes. EKN was expelled by FINRA on October 12, 2012, FINRA reports.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating John Angelone’s alleged violations of the Securities Act. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of John Angelone’s alleged violations of the Securities Act may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.
