Victor A. Rigoni III of Lake Forest, Illinois, a stockbroker registered with Cetera Advisor Networks LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Rigoni failed to make regulatory disclosures. Department of Enforcement v. Victor A. Rigoni III, Order Accepting…
Victor A. Rigoni III of Lake Forest Illinois a stockbroker formerly registered with Summit Brokerage Services is the subject of a customer initiated investment related arbitration claim that was settled for $25,000.00 in damages founded on accusations of breach of fiduciary duty and negligence relating to Rigoni’s real estate investment trust transactions. FINRA Arbitration No….
Victor A. Rigoni III of Lake Forrest Illinois a stockbroker formerly registered with Summit Brokerage Services is the subject of a customer initiated investment related arbitration claim which was settled for $13,999.00 in damages based upon allegations that (1) fiduciary duties which were owed to the customer had been breached by the stockbroker (2) misrepresentations…