Michael John Giovannelli (also known as Michael Anthony Giovannelli), of Garden City, New York, a stockbroker formerly registered with Spartan Capital Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Giovannelli engaged in unauthorized trading and had falsified documents…
Michael John Giovannelli of Garden City New York a stockbroker formerly registered with Spartan Capital Securities LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with effecting an unauthorized trade in a customer’s account when Giovannelli was associated with Spartan Capital Securities. Department of Enforcement v. Michael J. Giovannelli Disciplinary Proceeding…
Michael John Giovannelli (also known as Michael Anthony Giovannelli) of Garden City New York a stockbroker formerly registered with Spartan Capital Securities is the subject of a Financial Industry Regulatory Authority (FINRA) investigation in which the regulator made an initial determination to recommend that Giovannelli be sanctioned for engaging in unauthorized trading and for providing…
Michael John Giovannelli of Melville New York a stockbroker formerly registered with Salomon Whitney Financial is referenced in a customer initiated investment related arbitration claim in which the customer requested $350,067.00 in damages supported by allegations of (1) breach of contract (2) unauthorized trading (3) suitability (4) negligence and (5) churning of the customer’s equity…