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Anthony Satriano Allegedly Failed to Follow Liquidation Instructions

Anthony Satriano (CRD #: 4662519), a broker registered with Wells Fargo Clearing Services, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on December 6, 2022. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On September 24, 2022, an investor alleged that Anthony Satriano failed to follow instructions to fully liquidate the client’s account, leading to losses. The client alleged that this misconduct occurred between March 17 and April 20, 2020. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without an outside review. Investors may be able to recoup their losses by pursuing FINRA arbitration following a denial.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Anthony Satriano has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Anthony Satriano is a registered broker in 19 states and Puerto Rico. He is also a registered investment adviser in Colorado and Texas.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • Contango Capital Advisors (CRD#:131308)
  • Zions Direct (CRD#:17776)
  • Park Avenue Securities (CRD#:46173)
  • Securian Financial Services (CRD#:15296)

Kurta Law Can Help

If you worked with Anthony Satriano and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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