FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes:
- FINRA Case 15-3487 alleging unsuitability and breach of fiduciary duty in connection equities and futures commodity. Customer alleges damages of $73,454
- FINRA Case 15-1128 alleging churning, excessive trading, suitability, unauthorized trading, negligence and breach of fiduciary duty. Customer alleges damages of $503,771
- FINRA Case 15-1143 alleging unsuitability, negligent supervision, breach of fiduciary duty and possibly fraud. Customer alleges damages of $536,180.
In 2014 Gogliormella settled a case with a customer alleging churning, unauthorized trading, unsuitable recommendations and failure to supervise for $45,000. FINRA Case 14-2633.
Prior to joining Legend Securities, Gogliormella was registered with First Midwest Securities 8/2010-12/2010.
If you have losses in an account handled by Mario Gogliormella, you may be able to collect damages from his employing firm. Call to speak with an experienced securities attorney.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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