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Thomas Briguccia Has Customer Complaints

Thomas Briguccia Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that New York-based KC Ward Financial broker Thomas Briguccia, Jr. has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Briguccia (CRD# 2311865).

Thomas Briguccia has spent 22 years in the securities industry and has been registered with KC Ward Financial in Ronkonkoma, New York since 2009. Previous registrations include Joseph Gunnar & Company in New York, New York; Briarwood Investment Counsel in New York, New York; Maidstone Financial, which has since been expelled by FINRA, in New York, New York; First United Equities Corporation in New York, New York; Lew Lieberbaum & Company in Garden City, New York; and the Harriman Group, which has since been expelled by FINRA, in Jericho, New York. He is a registered broker with 18 US states and territories: Alabama, Arizona, California, Connecticut, Florida, Georgia, Illinois, Iowa, Maryland, Massachusetts, Minnesota, Nevada, New York, North Carolina, Pennsylvania, South Carolina, Texas, and Washington.

According to his BrokerCheck report, Thomas Briguccia has received six customer complaints and two pending customer complaints.

In May 2016, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, was responsible for trading losses. The customer is seeking $100,000 in damages in the pending complaint.

In 2011, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, misrepresented material facts related to an investment. The complaint settled for $11,000, to which Mr. Briguccia individually contributed $11,000.

In 2009, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, misrepresented risks associated with investments and caused emotional distress. The customer is seeking more than $141,900 in damages in the pending complaint.

In 2007, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, recommended investments that performed poorly. The complaint settled in 2008 for $19,000, to which Mr. Briguccia individually contributed $9,900.

In 2004, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, failed to follow objectives, recommended unsuitable investments, and committed margin abuse. The complaint settled in 2005 for $140,000, to which Mr. Briguccia individually contributed $70,000.

In 2004, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, invested in securities that performed poorly. The complaint settled for $125,000, to which Mr. Briguccia individually contributed $75,000.

In 2002, a customer alleged Thomas Briguccia, while employed at Joseph Gunnar & Company, misrepresented and omitted material facts, made unsuitable recommendations, churned the account, and breached his fiduciary duty. The complaint settled in 2003 for $190,000, to which Mr. Briguccia individually contributed $70,000.

If you have lost money investing with Thomas Briguccia, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.