Pennsylvania-based Cetera Investment Services broker/adviser Nicholas Curinga III is the subject of one customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Curinga (CRD# 4786481).
Nicholas Curinga has spent eleven years in the securities industry and has been registered with Cetera Investment Services in Monroeville and McMurray, Pennsylvania since 2014. Previous registrations include LPL Financial in Monroeville, Pennsylvania (2012-2014); CCO Investment Services in Charleroi, Pennsylvania (2009-2012); Natcity Investments in Belle Vernon, Pennsylvania (2004-2009); and Northwestern Mutual Investment Services in Milwaukee, Wisconsin (2004). He is a registered broker with Pennsylvania and Virginia.
According to his BrokerCheck report, Nicholas Curinga is the subject of one customer complaint and one denied customer complaint.
In October 2015 a customer alleged Nicholas Curinga, while employed at Citizens Securities, sold an unsuitable investment. The customer sought damages exceeding $11,700 in the complaint, which was denied.
In 2013 a customer alleged Nicholas Curinga, while employed at CCO Investment Services, misrepresented material facts related to a unit investment trust (UIT), resulting in large losses. The complaint settled for more than $5,700.
Federal securities law prohibits brokers like Nicholas Curinga from making untrue or false statements that mislead their clients. This includes the omission of material facts regarding an investment, or the effect that an investment could have on the client’s finances. A “material fact” is a unit of information that would be a significant consideration for a reasonable investor in making a decision about an investment. Examples include the risk level of a stock, the potential return on an investment, or the fees involved with the transaction. Brokers and investment advisers who misrepresent material facts may be subject to disciplinary action from FINRA, the Securities and Exchange Commission, or state authorities
If you have complaints regarding Nicholas Curinga III, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.
All information in this article made public by FINRA on April 18, 2016.