Joseph Giordano Sanctioned By FINRA

Soreide Law Group is investigating possible investor claims against securities broker Joseph Giordano (also known as Joseph M. Giordano) [CRD: 2278341, Melville, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Aegis Capital Corp. Allegedly, Giordano failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Joseph Giordano.

FINRA Sanctions Giordano For Failure To Supervise

Evidently, on November 8, 2021, FINRA issued Case: 2016051704306 sanctioning Joseph Giordano for infractions. Specifically, Giordano was issued a 6-month suspension as a securities principal, meaning FINRA disallowed him from maintaining an association with FINRA-member firms in that capacity. Also, the financial regulator issued him a fine in the amount of $10,000. Notably, FINRA alleged that Joseph Giordano failed to supervise registered representatives. This resulted in excessive and unsuitable trading. Notably, clients sustained losses.

Joseph Giordano Sanctioned By FINRA For Failure To Supervise

Also, FINRA issued Case: 2005002464702 on October 11, 2007, sanctioning Joseph Giordano for infractions. Allegedly, Joseph Giordano failed to supervise registered representatives’ penny stock transactions. Therefore, Giordano was issued a 10-day suspension in any principal role. Also, the financial regulator issued him a fine in the amount of $7,500.

Giordano Employment Information

• Giordano has worked for Aegis Capital Corp. in Melville, NY, as a securities broker since February 19, 2010.
• Giordano has worked for Acceptus Capital Corp. in Washington, NY, as a securities broker since November 30, 2016.

Did Aegis Capital Corp. Securities Broker Joseph Giordano Cause You To Experience Damages?

Did you suffer damages by investing with Giordano? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for many investors across the country, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Giordano and brokerage firms Giordano worked for deny any and all allegations of sales practice violations.