Investor Alleges Ronald D’Antoni Gave Poor Advice

Ronald D’Antoni (CRD #: 2198548), a broker registered with J.P. Morgan Securities, was involved in an investor dispute, according to his BrokerCheck record, accessed on May 31, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On March 16, 2023, an investor alleged that Ronald D’Antoni gave poor advice between March 3, 2021, and October 17, 2022. This dispute was denied by the firm.

Investors should know, however, that firms don’t need to permit an outside review before denying a dispute. Investors can still pursue FINRA arbitration following a denial and can potentially recover their losses.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that adequately fit an investor’s financial goals. Brokers must consider the information in the investor’s profile, such as their tax status, risk tolerance, and age when recommending investments.

Investors who rely on brokers for investment recommendations can potentially recover their losses by seeking out FINRA arbitration.

FINRA Rule 2010

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

Background Information

Ronald D’Antoni has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

Ronald D’Antoni is a registered broker in 21 states and the District of Columbia. He is also a registered investment adviser in New Jersey, New York, and Texas.

He has also worked for the following firms:

• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• Bristol Investment Group (CRD#:39684)
• European American Equities (CRD#:45097)
• Torsiello Securities (CRD#:130129)
• J.P. Turner & Company (CRD#:43177)
• Josephthal & Company (CRD#:3227)
• Robb Peck McCooey Clearing Corporation (CRD#:7432)
• The Boston Group (CRD#:37652)
• Lew Lieberbaum & Company (CRD#:17341)
• D. H. Blair & Company (CRD#:6833)
• Prime Capital Services (CRD#:18334)

Kurta Law Can Help

If you worked with Ronald D’Antoni 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.