Stephen Giannantonio, a stockbroker presently registered with Aegis Capital Corp., is the the subject of two customer initiated, investment related FINRA securities arbitration claims seeking undisclosed damages, one for the sale or recommendation of unsuitable investments, breach of fiduciary duty and, violation of Regulation Best Interest. FINRA Arbitration No. 25-01901, and the other, for breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.” FINRA Arbitration No. 26-00890
In 2016, Giannantonio was sanctioned and suspended by FINRA and admitted that he “exercised discretion in executing transactions in a customer’s account without obtaining prior written authorization from the customer or written approval of the account as discretionary from his member.” AWC No. 2015047426901 (Oct. 4, 2016).
However, perhaps more astonishingly, since 1996, Giannantonio has been associated with thirteen (13) different securities broker-dealers, ten of which have been expelled by FINRA or are otherwise defunct.
The Guiliano Law Group, P.C.
For more than thirty years, our practice is limited to the representation of investors. If you believe that you have been the victim of misconduct or fraud, contact us for a free consultation or a confidential evaluation of your claim. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation For more information, contact us at (877) SEC-ATTY.
