RedFlags, Allegations and Complaints against RAFFAELE GAMBARDELLA
Disclosure #1 for RAFFAELE GAMBARDELLA
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- eventDate: 9/20/2000
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA: C3A000032
- DocketNumberAAO: 3000032
- Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
- Allegations: NASD RULES 2110 AND 3010 – A MEMBER FIRM, ACTING THROUGH RESPONDENT GAMBARDELLA, FAILED TO ADEQUATELY SUPERVISE A FORMER REGISTERED REPRESENTATIVE TO PREVENT AND DETECT ALLEGED EXCESSIVE TRADING, UNAUTHORIZED TRADING AND THE IMPROPER USE OF DISCRETION.
- Resolution: Acceptance, Waiver & Consent(AWC)
- SanctionDetails :: Sanctions: Censure Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- SanctionDetails :: Amount: $5,000.00
- Regulator Statement: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GAMBARDELLA CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THERFORE, HE IS CENSURED AND FINED $5,000.00.
Should I file a FINRA complaint against brokers like RAFFAELE GAMBARDELLA?
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 RAFFAELE GAMBARDELLA’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 RAFFAELE GAMBARDELLA
What is RAFFAELE GAMBARDELLA’s Central Registration Depository (CRD) Number?
Which firm is RAFFAELE GAMBARDELLA associated with?
A.G.P. / ALLIANCE GLOBAL PARTNERS
Where is RAFFAELE GAMBARDELLA located?
40 Wall Street, New York, NY, 10005
Where can I find more details about RAFFAELE GAMBARDELLA’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/8361 to read a detailed report for A.G.P. / ALLIANCE GLOBAL PARTNERS
Are there any disclosures, allegations or complaints filed against RAFFAELE GAMBARDELLA?
Where can I download a detailed FINRA report for RAFFAELE GAMBARDELLA?
Is it safe to do business with RAFFAELE GAMBARDELLA?
We’re not sure. Please research RAFFAELE GAMBARDELLA’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:31 pm
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