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…
Stephen Giannantonio (also known as Steve Gannantaonio) of New York New York a stockbroker currently registered with Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim where the customer requested $304,000.00 in damages based upon accusations that (1) the customer’s account was churned (2) contractual obligations had been breached (3)…
Stephen Giannantonio, of New York, New York, a stockbroker with Aegis Capital Corp., was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized discretionary trading. Letter of Acceptance, Waiver and Consent, No. 2015047037401 (Oct. 4, 2016). According to the…
