Joseph Giordano – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Joseph Giordano a/k/a Joseph Michael Giordano CRD #2278341
Joseph Giordano is a licensed financial advisor with Acceptus Capital Corp and Aegis Capital Corp.
According to FINRA, Joseph Giordano was fined $10,000 and suspended from the securities industry for six months in December 2021.
According to FINRA Allegations:
Giordano consented to the sanctions and to the entry of findings that he failed to reasonably supervise his member firm’s registered representatives who worked in one of its branch offices. The findings stated that as a designated supervisory principal, Giordano was presented with but did not respond to multiple red flags identifying potentially excessive and unsuitable trading in customer accounts managed by the representatives, including, among others, exception reports generated by the firm’s clearing firm. As a result, the firm representatives engaged in excessive and unsuitable trading in customer accounts, generating combined customer costs (including commissions, markups or markdowns, margin interest and fees) of more than $2.6 million, and cumulative losses of $4 million.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Joseph Giordano and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Joseph Giordano’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Joseph Giordano and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 11/11/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.