Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2016 indicate that New York-based Legend Securities broker Mario Gogliormella has received numerous settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gogliormella (CRD# 3097531).
Mario Gogliormella has spent five years in the securities industry and has been registered with Legend Securities in New York, New York since 2010. He was previously registered with First Midwest Securities in New York (2010). Mr. Gogliormella is a registered broker with 50 US states and territories.
According to his BrokerCheck report, Mario Gogliormella is the subject of two customer complaints and three pending customer complaints.
In 2015, a customer alleged Mario Gogliormella, while employed at Legend Securities, recommended unsuitable investments, misrepresented material facts related to an investment, acted negligently, breached his fiduciary duty, breached contract, executed excessive and unauthorized trades, and churned the customer’s account. The customer is seeking more than $503,700 in damages in the pending complaint.
In 2015, a customer alleged Mario Gogliormella, while employed at Legend Securities, recommended unsuitable investments and breached his fiduciary duty. The customer is seeking more than $536,000 in damages in the pending complaint.
In 2014, a customer alleged Mario Gogliormella, while employed at Legend Securities, failed to supervise his representatives, recommended an unsuitable investment, churned the customer’s account, and executed unauthorized trades. The complaint settled in November 2015 for $45,000, to which Mr. Gogliormella individually contributed $45,000.
In 2014, a customer alleged Mario Gogliormella, while employed at Legend Securities, generated excessive commissions. The complaint settled for more than $9,900.
If you have lost money investing with Mario Gogliormella, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.