Our Staff has compiled our research into a database of FINRA Broker Allegations for David Michael Riccio.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| David Michael Riccio | 1094283 | 8 | 02/06/2018 | Customer Dispute | Award / Judgment | $0.00 | $1,300,000.00 | See Allegations |
| David Michael Riccio | 1094283 | 8 | 01/29/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| David Michael Riccio | 1094283 | 8 | 03/29/2016 | Customer Dispute | Settled | $137,000.00 | $0.00 | See Allegations |
| David Michael Riccio | 1094283 | 8 | 02/07/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| David Michael Riccio | 1094283 | 8 | 02/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| David Michael Riccio | 1094283 | 8 | 01/27/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| David Michael Riccio | 1094283 | 8 | 01/27/2014 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See Allegations |
| David Michael Riccio | 1094283 | 8 | 08/14/2009 | Customer Dispute | Denied | $49,634.00 | $0.00 | See Allegations |