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Broker Alert: Wells Fargo Broker Peter Giannone

Wells Fargo AdvisorsBroker Alert: Wells Fargo Broker Peter Giannone.
Publicly available records provided by FINRA, the Financial Industry Regulatory Authority, show that Wells Fargo Advisors broker Peter Giannone, New York, has a closed customer complaint. The investment recovery lawyers at StockBrokerLawyer.com are ready to help additional customers recover their investment losses and are interested in contact from investors who have complaints regarding Mr. Giannone (CRD# 1537055).Peter Giannone has almost thirty years of giving financial advice, and worked for Wells Fargo Advisors in White Plains, New York, since January 2008. Before, he worked for A.G. Edwards & Sons, Incorporated in White Plains, New York (1993-2008). Mr. Giannone is a licensed broker in seventeen states: Connecticut, Delaware, Florida, Georgia, Idaho, Illinois, Massachusetts, Nevada, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, and Virginia.

According to his BrokerCheck report, Peter Giannone has one customer complaint that was closed with no action taken.

In 2008 a customer alleged Peter Giannone, while employed at Wachovia Securities, recommended an unsuitable investment that he assured the customer was safe. T he customer sought unspecified damages believed to exceed $5,000 in the complaint, which was closed with no action taken.

Both FINRA rules and federal securities law require brokers like Peter Giannone to recommend only investments that are suitable for their clients: this means investments must be appropriate to a client’s investment goals, experience, age, and many other factors. Brokerage and advisory firms have an additional duty to supervise their representatives and ensure compliance with these regulations. Brokers and firms who fail to recommend suitable investments or supervise their representatives may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.

If you have suffered losses while investing with Peter Giannone, call (888) 986-7199 or write the investment recovery lawyers at StockBrokerLawyer.com for a free no-cost consultation. We can help recover your losses and seek other damages, too.

You can use the email form or chat on StockBrokerLawyer.com You may be entitled to recover your losses. We work on contingency: we are paid only when you are paid. Time is limited; delay is the favorite defense of the brokerage firms. Call 888-986-7199 now to speak to an attorney for a no cost evaluation.


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