New York-based Trident broker John Columbia is the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Columbia (CRD# 4621944).
John Columbia has spent twelve years in the securities industry and has been registered with Trident Partners in Woodbury, New York since September 2015. Previous registrations include JD Nicholas & Associates in Syosset, New York (2014-2015); Brookville Capital Partners in Melville, New York (2014); Trident Partners in Woodbury, New York (2010-2014); Woodstock Financial Group in Garden City, New York (2009-2010); A&F Financial Securities in Syosset, New York (2008-2009); Vanguard Capital in Del Mar, California (2008); New Castle Financial Services in Melville, New York (2007); Concord Equity Group in Garden City, New York (2006); Benson York Group in Melville, New York (2004-2005); SW Bach & Company in Port Washington, New York (2003-2004); Continental Broker-Dealer Corporation in Carle Place, New York (2003); Gunnallen Financial in Tampa, Florida (2003); Harrison Securities in Port Washington, New York (2003); and SW Bach & Company in Port Washington, New York (2003). Of Mr. Columbia’s former employers, five have since been expelled by FINRA: Brookville Capital Partners, New Castle Financial Services, Benson York Group, Continental Broker-Dealer, and Harrison Securities. He is a registered broker with ten US states and territories: California, Indiana, Maryland, Minnesota, New Jersey, New York, North Carolina, Ohio, Pennsylvania, and Texas.
According to his BrokerCheck report, John Columbia is the subject of two customer complaints and one pending customer complaint.
In January 2015 a customer alleged John Columbia, while employed at Woodstock Financial Group, churned the account, made unsuitable recommendations, executed unauthorized trades, acted negligently, breached contract, and misrepresented material facts. The customer is seeking damages exceeding $167,300 in the pending complaint.
In 2013 a customer alleged John Columbia, while employed at Woodstock Financial Group, acted negligently and breached his fiduciary duty. The complaint settled in 2014 for $125,000.
In 2009 a customer alleged John Columbia, while employed at A&F Financial Services, charged excessive markups and caused portfolio losses. The complaint settled for $2,450, to which John Columbia individually contributed $2,450.
If you have complaints regarding John Columbia, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.
This information based on publicly available documents provided by FINRA on March 23, 2016.