Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Andrew Netrosio (also known as Jay Netrosio) (CRD#: 2743225, Middletown, New York). Netrosio has been registered in the securities industry for 27 years, working with multiple firms, including HSBC Securities, TD Ameritrade, and CUNA Brokerage Services. Since May 18, 2022, he has been registered with LPL Financial LLC.
Recent disclosures reveal concerns about Netrosio’s conduct, including allegations of misrepresentation, unauthorized trading, and negligence. Two client disputes have been reported, with one resulting in a financial award against him.
On April 17, 2024, a client of LPL Financial filed a complaint against Netrosio, alleging misrepresentation and unauthorized trading. The client claimed that Netrosio misrepresented the fees associated with mutual fund purchases and moved funds from the client’s credit union account without permission to purchase the same mutual funds and a variable annuity. The client sought $6,000 in damages. However, LPL Financial and Netrosio denied the allegations, stating that the client had signed instructions to transfer funds and received full verbal and written disclosures. The complaint was denied.
In an earlier case dated August 27, 2010, a client of HSBC Securities alleged that Netrosio acted negligently and disregarded crucial information about the client’s investment objectives. The complaint stated that Netrosio concentrated the client’s portfolio in unsuitable and volatile investments. The client sought $261,000 in damages. The arbitration panel awarded the client $65,342.30 in damages. Netrosio did not contribute personally to the settlement. FINRA Arbitration No. 10-3612.
Looking for more information about Jason Netrosio? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities lawyer. Soreide Law Group works on a contingency basis, advances all costs, and assists clients throughout the country with recovering losses from sales practice misconduct. Netrosio and the firms he worked for deny accusations of sales practice violations.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning […]
Investors potentially experienced losses due to securities broker Craig Sherman Thistlethwaite [CRD: 2507050, Perrysburg, Ohio], according to disclosures on FINRA BrokerCheck. According to the regulator, Thistlethwaite worked for Morgan Stanley from June 1, 2009, to February 16, 2023. Here’s more about the securities broker’s disclosures. Ohio Division of Securities Charged Thistlethwaite With Violations Particularly, on […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]