Dominick Giovannone, of Manalapan, New Jersey, a stockbroker currently registered with Wells Fargo Clearing Services, LLC, is the subject of a customer initiated investment related written complaint on November 13, 2015, in which the customer requested $15,273.00 in damages based upon allegations that Giovannone made unsuitable investment recommendations to the customer concerning the holding of a devalued corporate debt investment.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Giovannone has been subject of two additional customer initiated investment related disputes pertaining to allegations of his wrongdoing while he was associated with Citigroup GMI and Wachovia Securities, LLC. Particularly, on September 28, 2004, a customer initiated investment related written complaint regarding Giovannone’s activities was resolved for $5,000.00 in damages resting on allegations that Giovannone effected unsuitable mutual fund investments in the customer’s account.
Then, on October 1, 2004, a customer filed an investment related written complaint involving Giovannone’s conduct, where the customer sought $5,500.00 in damages based upon allegations that Giovannone effected the purchase of a Dow Jones Industrial Average equity-linked certificate of deposit that was not suitable for the customer.
Giovannone has been associated with eleven different broker dealers, two of which are defunct or have been otherwise expelled by securities regulators for violation of federal securities laws.
Guiliano Law Group
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