Anthony Branca Allegedly Failed to Supervise a Customers Account

Anthony BrancaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that Georgia-based Woodstock Financial Services broker/adviser Anthony Branca has received pending customer and regulatory complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Branca (CRD# 1178639).

Anthony Branca has spent 27 years in the securities industry and has been registered with Woodstock Financial Group in Woodstock, Georgia since 2008. Previous registrations include The Investment Center in Piscataway, New Jersey (2003-2008); The Concord Equity Group in Iselin, New Jersey (2000-2003); JJB Hilliard WL Lyons in Louisville, Kentucky (1999-2000); Atlantic Group Securities in Millburn, New Jersey (1997-1999); Rickel & Associates in New York, New York (1994-1997); and Halpert & Company in Millburn, New Jersey (1990-1994). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 21, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 19, 1990; Series 7 (General Securities Representative Examination), which he obtained on December 6, 1990; Series 53 (Municipal Securities Principal Examination), which he obtained on June 3, 2002; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 18, 1994; and Series 24 (General Securities Principal Examination), which he obtained on January 20, 1993. He is a registered broker and investment adviser with 52 US states and territories.

According to his BrokerCheck report, he has received one pending customer complaint and one pending regulatory complaint.

In December 2017 he was named respondent in a complaint by the State of Montana in connection to allegations he failed to supervise salespersons; knowingly provided “substantial assistance” to a salesperson who transacted business with a Montana client without registration; and knowingly provided assistance to salespersons who made unauthorized trades, charged excessive commissions, committed fraud, and used discretion without authorization. The complaint remains pending.

In June 2017 a customer alleged Anthony Branca, while employed at Woodstock Financial Group, failed in his supervisory duties, violated the North Carolina Securities Act, and acted negligently. The customer is seeking $160,082 in damages in the pending complaint.

If you have lost money investing with Anthony Branca, you may be eligible to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only receive payment if and when you recover money. You might have a limited time to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.