Stephen Giannantonio, Financial Advisor Suspended by FINRA | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Stephen Giannantonio, Financial Advisor Suspended by FINRA 

Stephen Giannantonio has been licensed with Aegis Capital Corp. since 2013. Reported by FINRA on October 4, 2016, Stephen Giannantonio, was suspended from association with any FINRA member in any capacity for ten business days and fined $5,000.  

FINRA reports Stephen Giannantonio, consented to the sanctions and to the entry of findings that he exercised discretion in executing transactions in a customer’s account without obtaining prior written authorization from the customer or written approval from his member firm.

Stephen Giannantonio reported to FINRA an arbitration claim filed on October 29, 2018, with allegations: fraud, unsuitability, breach of fiduciary duty, breach of contract and churning from July 2014, through August 2017. According to FINRA, the Claimant alleges damages of $304,000.

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 Stephen Giannantonio, you may be able to recover your losses from Aegis Capital Corp. This is because Aegis Capital Corp. had a duty to supervise Stephen Giannantonio. 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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