Roy Joseph Failla, Broker with Arive Capital Markets, Named in Customer Dispute Alleging Unsuitable Recommendations

Failla was suspended by the New Jersey Bureau of Securities earlier this year. 

roy-joseph-failla-alleging-unsuitable-recommendationsRoy Joseph Failla (CRD#: 2786551) is registered as a broker with Arive Capital Markets, where he’s been employed since 2019. Previously, Failla was registered as a broker with First Standard Financial Company from 2014 until 2019. 

Failla has five disclosures on his BrokerCheck report. 

May 2021 Customer Dispute


October 2021 Regulatory Judgment


May 2018 Customer Dispute


May 2010 Customer Dispute


February 2010 Customer Dispute


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