Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Michael James Conte

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: 1) violations of the pennsylvania securities act, 70 p.s. ##1-101 et seq, 2) breach of fiduciary duty against all respondents arising out of the sale to claimants of investments in a private offering in a promissory note, 3) negligence against fusion analytics securities and [third party]

Back