Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Giordano (Giordano), currently associated with Aegis Capital Corp. / Acceptus Capital Corp., has at least one disclosable event. These events include one tax lien, alleging that Giordano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 06, 2024.
The New York State Department of Financial Services alleges the Respondent provided materially incomplete information within the meaning of Section 2110(a)(2) of the Insurance Law in six of the Respondent’s renewal applications for an agent’s license pursuant to Section 2103(a) of the Insurance Law, submitted to the Department on April 7, 2011, March 13, 2013, March 3, 2015, March 9, 2017, November 15, 2018, and March 4, 2021, respectively, in that in each application the Respondent failed to disclose that on or about October 10, 2007, Respondent was assessed a fine by the Financial Industry Regulatory Authority.
