Michael J. Giannetti
May 2022-McKinney , TX
According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting in a permanent bar from the industry.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 3/2022 FINRA permanently barred Giannetti from the industry to resolve allegations that Giannetti refused to provide documents and information requested by FINRA in connection with an investigation concerning his potential participation in undisclosed outside business activities while associated with his former member firm.
Michael Giannetti was with MML Investors Services from 3/2016-12/2021. Prior to that he was registered with Sagepoint Financial.
If you have suffered losses in an account handled by Michael Giannetti ., contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
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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