Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph Gunnar clients indicate that Alagna failed to supervise securities brokers who seemingly caused their losses. For more on these troubling disclosures about Alagna, see below.
Apparently, on September 4, 2018, a Joseph Gunnar client filed FINRA Arbitration #: 18-02957 about Alagna. Apparently, the client alleged that securities brokers under Alagna’s control effected bad transactions in the client's account and without the securities firm's supervision. Because of this, the client sustained losses on the securities broker’s stock trades. Therefore, the client requested $40,450.78 in compensation from Joseph Gunnar or the securities broker. Apparently, this arbitration is pending a resolution.
Apparently, a client of Joseph Gunnar contested Joseph Alagna’s sales practices by filing FINRA Arbitration #: 12-04176. First of all, the customer indicated that Alagna (or someone he failed to supervise) made unauthorized trades in the client's account. Secondly, the securities broker supposedly churned the client's investment account, trading mainly to generate commissions. Thirdly, he was supposedly responsible for making unsuitable stock trades and mutual fund trades. The Statement of Claim additionally alleges breach of fiduciary duty, violation of Maryland securities laws, and negligence. Because of this, FINRA Arbitrators issued an Award compelling Joseph Gunnar and Alagna to compensate the client in the amount of $702,037.
Evidently, a Bear Stearns client filed Arbitration #: 97-04504 about Joseph Alagna. Apparently, the client alleged that Alagna misrepresented and omitted important information about investments. Not only that, but the securities broker also allegedly churned the client's investment portfolio. Allegedly, the securities broker also concealed adverse information about investments. Finally, the customer claimed that the securities broker breached a fiduciary duty, placing his interests ahead of the customer’s interests. Accordingly, a FINRA Arbitration Panel issued an Award ordering Alagna to pay the client $208,000 in compensatory damages.
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