{"id":7403,"date":"2018-11-21T10:55:32","date_gmt":"2018-11-21T15:55:32","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7403"},"modified":"2018-11-21T10:55:32","modified_gmt":"2018-11-21T15:55:32","slug":"broker-dominick-diorio-charged-with-unauthorized-trading","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-dominick-diorio-charged-with-unauthorized-trading\/","title":{"rendered":"Broker Dominick Diorio Charged With Unauthorized Trading"},"content":{"rendered":"

Dominick Joseph Diorio, Jr. (CRD #2447817<\/a>) is a registered broker currently employed with Aegis Capital Corp. (CRD #15007) of Melville, NY. He was previously employed with Global Arena Capital Corp (CRD #16871) of New York, NY, Prestige Financial Center, Inc. (CRD #30407), also of Melville, and S.W. Bach & Company (CRD #43522), of Port Washington, NY. Five of his previous employers have been expelled by FINRA. He has been in the industry since 1995.<\/p>\n

\"BeDiorio is the subject of four disclosures, the most recent filed on 2\/12\/2018. In it, the client alleges \u201cunauthorized trading and unsuitable investment recommendations<\/em>,\u201d and requests damages of $769,690.00. Diorio steadfastly denies the charges. This case is currently pending.<\/p>\n

A previous customer dispute filed on 9\/29\/2017 has similar allegations of an \u201cunsuitable investment strategy\u201d during the period of December 2012 through July of 2017. Diorio also denies the allegations, and explained reasons why the case wasn\u2019t valid including the investment savvy of the customer. On the advice of counsel, Diorio and the firm settled this claim for a total of $837,500.00 instead of risking higher damages and expenses on a hearing and possibly a trial.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Dominick Joseph Diorio, Jr. (CRD #2447817) is a registered broker currently employed with Aegis Capital Corp. (CRD #15007) of Melville, NY. He was previously employed with Global Arena Capital Corp (CRD #16871) of New York, NY, Prestige Financial Center, Inc. (CRD #30407), also of Melville, and S.W. Bach & Company (CRD #43522), of Port Washington, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580,581,576],"tags":[196,1322,1323,290],"class_list":["post-7403","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct","category-unauthorized-trading","category-unsuitable-investment-advice","tag-aegis-capital-corp","tag-dominick-diorio","tag-scott-silver-aegis-capital-corp","tag-securities-arbitration"],"yoast_head":"\nBroker Dominick Diorio Charged With Unauthorized Trading — Securities Arbitration Lawyers Blog — November 21, 2018<\/title>\n<meta name=\"description\" content=\"Dominick Joseph Diorio, Jr. (CRD #2447817) is a registered broker currently employed with Aegis Capital Corp. (CRD #15007) of Melville, NY. 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