Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 27, 2017 indicate that former New York-based North Ridge Securities broker Richard Dorso has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dorso (CRD# 1060529).
Richard Dorso has spent 33 years in the securities industry and was most recently registered with North Ridge Securities in Melville, New York (2015-2017). Previous registrations include Nationwide Planning Associates in Northport, New York; White Mountain Capital in New York, New York; MML Investors Services in Springfield, Massachusetts; Massachusetts Mutual Life Insurance Company; NML Equity Services; and Robert W. Baird & Company. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer.
In January 2017 FINRA sanctioned him following allegations he “willfully failed to timely disclose tax liens, totaling approximately $287,689, on his Form U4.” He was issued a two-month suspension from associating with any FINRA member in any capacity.
In October 2015 he was terminated from his position at Nationwide Planning Associates following allegations he to disclose unsatisfied judgements and/or liens.
If you or someone you know has lost money investing with Richard Dorso, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.