Timothy Joseph Croak Allegedly Engaged in Unsuitability & Misrepresentation Regarding Recommendations to Invest In & Hold an Options Overlay Strategy

Timothy Joseph Croak allegedly engaged in unsuitability & misrepresentation regarding recommendations to invest in and hold an options overlay strategy, according to a Pending  Customer Dispute under review by investor rights attorney Alan Rosca.

The aforementioned Dispute was filed on April 9, 2019, FINRA states, and damage amounts of $$421,868.58 have been requested.

Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Timothy Joseph Croak’s alleged engagement in unsuitability and misrepresentation regarding recommendations to invest in and hold an options overlay strategy. Investors who believe they may have lost money in activity related to Timothy Joseph Croak’s alleged engagement in unsuitability and misrepresentation regarding recommendations to invest in and hold an options overlay strategy are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Timothy Joseph Croak Settled a Customer Dispute Alleging that Croak Allegedly Represented Two Bond Purchases as Safe

Timothy Joseph Croak reportedly settled a Customer Dispute that alleged Croak allegedly represented two bond purchases as safe, FINRA reports.

The aforementioned Dispute was settled on July 18, 2002, FINRA states, and a damage amount of $9,800 was settled upon, after $140,000.00 had been requested.

Timothy Joseph Croak has spent 41 years in the securities industry, has been registered with UBS Financial Services Inc. in New York, NY since November 24, 2015, FINRA notes, and has also been registered with the following firms:

  • Credit Suisse Securities LLC, New York, NY— January 17, 2003 until December 18, 2015
  • Donaldson, Lufkin, & Jenrette Securities Corporation, Jersey City, NJ— May 22, 1990 until January 17, 2003

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 mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Timothy Joseph Croak’s alleged engagement in unsuitability and misrepresentation regarding recommendations to invest in and hold an options overlay strategy. 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 Timothy Joseph Croak’s alleged engagement in unsuitability and misrepresentation regarding recommendations to invest in and hold an options overlay strategy may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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