CYNTHIA ANN GIOVACCHINO, according to FINRA’s BrokerCheck, is currently listed as a broker and as an investment advisor with OSAIC INSTITUTIONS, INC. of Seymour, Connecticut, since December of 2023. Giovacchino has been in the securities industry for 35 years and has been listed with 4 firms.
According to BrokerCheck, available to the public on FINRA’s website, CYNTHIA ANN GIOVACCHINO, has 12 Disclosures on her FINRA CRD report. All 12 Disclosures are “Customer Disputes,” 2 are pending and 10 have settled, all listed are from 2021-2024. The significance of Giovacchino’s FINRA Customer Complaints is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words CYNTHIA ANN GIOVACCHINO’s customer complaints rank her in the top one-hundredth percent of all registered representatives for customer complaints.
Of the ten customer complaints that settled, some of the allegations in part were, “unsuitability and misrepresentation of non-traded REIT and structured notes, misrepresentation of structure barrier note, unsuitability, misrepresentation of REIT as 3 year term, and structured note was misrepresented as safe investment.”
Before CYNTHIA ANN GIOVACCHINO was registered with OSAIC INSTITUTIONS, INC. of Seymour, Connecticut, she was registered with LPL FINANCIAL LLC of Ansonia, Connecticut. She was registered with LPL as a broker from 10/11/2011 - 12/21/2023, and as an investment advisor from 11/19/2012 - 12/22/2023.
FINRA rules state that all member firms are responsible for supervising their financial advisors and brokers while they are registered with the firm.
To discuss this or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis. There is no fee to you if there is no recovery.
Investors apparently complained about securities broker Raymond Michael Congelosi (also known as Mike Congelosi) [CRD: 1879030, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. since May 25, 2017, Raymond Congelosi has worked as both an investment adviser and broker for MML Investors Services LLC in West Hartford, Connecticut. See the […]
One or more investors potentially experienced sales practice violations because of securities broker Brian Wayne Napier [CRD: 4555202, Greenwood, Indiana], based on publicly available information reported on FINRA BrokerCheck. Napier has worked with Ausdal Financial Partners Inc. since September 18, 2013, where he serves both as a broker and an investment adviser. Read on to […]
Investors may have incurred losses due to securities broker Teddy R Ezzell III [CRD: 1527524, Fort Collins, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ezzell has worked with LPL Financial LLC since December 15, 2014, and with Western Wealth Management LLC since June 22, 2016. Below, you can learn more about […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]