RedFlags, Allegations and Complaints against GIOVANNI DOMINO
Disclosure #1 for GIOVANNI DOMINO
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- eventDate: 3/4/1997
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA: C07970007
- DocketNumberAAO: 07970007
- Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
- Allegations: ALLEGING VIOLATION OF NASD RULES 2110, 2120 AND 2440
- Resolution: Decision & Order of Offer of Settlement
- SanctionDetails :: Sanctions: Disgorgement/Restitution Sanctions: Censure
- Sanction Details: THEREFORE, HE IS CENSURED AND ORDERED TO PAY $3,147.35
- Broker Comment: THE CASE WAS THAT OF WHICH RATHER THEN INCURRING THE GREATER EXPENSE OF A FORMAL PRECEEDING, MR DOMINO WITHOUT ADMITTING OR DENYING THE ALLEGATION THAT HE AND TWENTYNINE OTHER INDIVIDUALS HAD RECEIVED EXCESSIVE COMMISSIONS ON A SECURITY IN WHICH HIS THEN EMPLOYER EURO ATLANTIC SECURITIES INC. HAD MADE A MARKET. DOMINO CONSENTED TO ENTRY OF A DECISION AND ORDER DATED 12/30/97 BY THE NASD REGULATION BUSINESS CONDUCT COMMITTEE DISTRICT 7 RE COMPLAINT NO. CO 7970007 FINDING A VIOLATION OF CONDUCT RULES 2110 AND 2440 AND IMPOSING A CENSURE AND RESTITUTION IN THE AMOUNT OF 2,478.25 WHICH HAS BEEN FULLY PAID. THE DECISION SPECIFICALLY FOUND THAT MR DOMINO WAS NOT RESPONSIBLE FOR ESTABLISHING THE ALLEGEDELY EXCESSIVE COMMISSIONS WHICH WERE SET BY HIS THE EMPLOYER EUROATLANTIC INC.
Should I file a FINRA complaint against brokers like GIOVANNI DOMINO?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by GIOVANNI DOMINO’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About GIOVANNI DOMINO
What is GIOVANNI DOMINO’s Central Registration Depository (CRD) Number?
Which firm is GIOVANNI DOMINO associated with?
AEGIS CAPITAL CORP.
Where is GIOVANNI DOMINO located?
Union Square, Red Bank, NJ, 7701
Where can I find more details about GIOVANNI DOMINO’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/15007 to read a detailed report for AEGIS CAPITAL CORP.
Are there any disclosures, allegations or complaints filed against GIOVANNI DOMINO?
Where can I download a detailed FINRA report for GIOVANNI DOMINO?
Is it safe to do business with GIOVANNI DOMINO?
We’re not sure. Please research GIOVANNI DOMINO’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:34 pm
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