Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that New Jersey-based Calton & Associates broker/adviser Nicholas Ippolito has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ippolito (CRD# 2431878).
Nicholas Ippolito has spent 22 years in the securities industry and has been registered with Calton & Associates in Matawan, New Jersey since January 2017. Previous registrations include Voya Financial Advisors in East Brunswick, New Jersey (2014-2017); Wells Fargo Advisors in Highland Park, New Jersey (2009-2014); PNC Investments in Holmdel, New Jersey (2006-2009); Banc of America Investment Services in Boston, Massachusetts (2004-2006); Quick & Reilly in New York, New York (2002-2004); LCP Capital Corporation in Staten Island, New York (1999-2001); RD White & Company in New York, New York (1996-1999); and AS Goldmen & Company in Red Bank, New Jersey (1994-1996). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 27, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 20, 1994; and Series 7 (General Securities Representative Examination), which he obtained on December 30, 1993. He is a registered broker and investment adviser with three US states: Nevada, New Jersey, and New York.
According to his BrokerCheck report, he has received two customer complaints and three denied customer complaints, and he was discharged from his former employer in connection to alleged rule violations.
In 2017 a party of customers alleged Nicholas Ippolito, while employed at Wells Fargo Advisors, placed them in a variable annuity when they had asked for a fixed annuity. The complaint settled in April 2018 for $15,000.
In January 2017 he was discharged from his position at Voya Financial Advisors in connection to allegations he made several unsuitable replacements of unit investment trust products.
In March 2017 a customer alleged Nicholas Ippolito, while employed at Voya Financial Advisors, misrepresented material facts related to a variable annuity product. The customer sought $14,647 in damages in the pending complaint.
In 2013 a customer alleged Nicholas Ippolito, while employed at PNC Investments, misrepresented material facts related to an investment in preferred shares. The complaint settled for $20,000.
If you or someone you know has lost money investing with Nicholas Ippolito, 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.