Matthew J. Giannone (Matthew Giannone), Financial Advisor Suspended from Securities Industry | Goodman and Nekvasil May Recover Investor Losses

Goodman and Nekvasil May Recover Investor Losses | Matthew J. Giannone (Matthew Giannone), Financial Advisor Suspended from Securities Industry 

Matthew Giannone was previously licensed with Oppenheimer & Co. Inc. and Merrill Lynch. Reported by FINRA on December 28, 2016, Matthew Giannone, was suspended from association with any FINRA member in any capacity for thirty business days and fined $7,500. FINRA reports that Matthew Giannone consented to the sanctions and to the entry of findings that he accepted a personal loan of $35,000 from a married couple who were long-time customers of his without notifying or seeking pre-approval from his member firm.

FINRA found that the customers later complained to the firm about the loan, which was not formally documented. FINRA reports that the firm then required Matthew Giannone to repay the loan in full, which he did, with interest. The findings also stated that Matthew Giannone used his mobile phone to communicate with customers via text message without the firm’s knowledge. FINRA reports that none of the text messages were retained or reviewed by the firm.

FINRA reports that 5 complaints and/or arbitration claims involving Matthew Giannone’s conduct are currently pending.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Matthew Giannone, you may be able to recover your losses from Oppenheimer & Co. Inc., and/or Merrill Lynch.  This is because Oppenheimer & Co. Inc., and/or Merrill Lynch, had a duty to supervise Matthew Giannone. If you 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.

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