Stephen Giannantonio Involved In Aegis Capital Corp. Investor’s Breach Of Fiduciary Duty Dispute

Investors potentially experienced sales practice violations by securities broker Stephen Giannantonio (also known as Steve Gannantaonio) [CRD: 2309181, New York, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Giannantonio has been registered with Aegis Capital Corp. since June 17, 2013. Investors are encouraged to continue reading to find out more about Giannantonio’s disclosures and what they may mean for investors.

Aegis Investor Accused Steve Giannantonio Of Misrepresentation, Omissions

Specifically, on September 9, 2025, an Aegis Capital Corp. client filed FINRA Arbitration No. 25-01901 about Stephen Giannantonio. Mainly, the client alleged that Giannantonio made misrepresentations, made omissions, breached his fiduciary duty, made unsuitable recommendations, violated FINRA rules, and breached a contract. For this reason, the client allegedly incurred damages associated with private placement investments. Consequently, the client requested compensation from Aegis Capital Corp. or Giannantonio. BrokerCheck shows that this arbitration is ongoing.

Stephen Giannantonio Sanctioned By FINRA For Unauthorized Trading

Also, FINRA issued Case: 2015047426901 on October 4, 2016 sanctioning Giannantonio for infractions. Allegedly, Giannantonio engaged in discretionary trading by executing transactions in an investor’s account without obtaining prior written authorization from the investor or written approval of the account as discretionary from his employer. The findings stated that this conduct violated NASD Conduct Rule 2510(b) and FINRA Rule 2010. As a result, Giannantonio was suspended from associating with any FINRA member firm in any capacity for 10 business days and fined $5,000.

Glenn Michael Financial Investor Accused Steve Giannantonio Of Churning, Unsuitable Recommendations

Notably, a Glenn Michael Financial Inc. client filed NASD Arbitration No. 01-01566 about Stephen Giannantonio. Primarily, the client alleged that Giannantonio churned accounts, made unsuitable recommendations, breached his fiduciary duty, and converted funds. Because of this, the client allegedly incurred damages. Therefore, on August 29, 2002, an NASD Arbitration Panel issued an Award ordering Glenn Michael Financial Inc. and Giannantonio to pay the client $6,500 in compensatory damages.

Did You Sustain Losses Because Of Securities Broker / Financial Advisor Stephen Giannantonio?

Are you concerned about investments you made through Stephen Giannantonio? Contact Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers represent investors on a contingency fee arrangement and advance all costs. Giannantonio and brokerage firms Giannantonio worked for deny allegations of sales practice violations.