What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: February 16, 2016

Do you have churning complaints with John Prinzivalli of Cape Securities in New York? Churning is against securities rules and regulations and is a tactic used by brokers to garner large commissions for themselves. A broker and his brokerage firm have a duty to only trade and sell investments that are suitable for their clients. If they do not, the brokerage firm may be responsible for investment losses. Please call us today to find out how you can bring a claim against Cap Securities if you suffered losses with John Prinzivvalli.

According to his online FINRA BrokerCheck report, Prinzivalli allegedly engaged in high pressure sales tactics, churned accounts, made unsuitable investment recommendations, misrepresented material facts and breached fiduciary duty. He was registerd with Global Capital Securities, Seaboard Securities, Milestone Financial Services, JP Turner & Co., Westrock Advisors, First Midwest Securities and Salomon Whitney. He is currently registered with Cape Securities in Holtsville, New York and has been since August 2012. He has two customer disputes against him, one of which is currently pending.

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If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

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