Rocco Guidicipietro
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Rocco Guidicipietro. If you suffered losses investing with Rocco Guidicipietro, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Previous Registration(s)
02/2012 – PRESENT ALEXANDER CAPITAL, L.P. (CRD# 40077) – NEW YORK, NY
09/2010 – 02/2012 LEGEND SECURITIES, INC. (CRD# 44952) – NEW YORK, NY
09/1998 – 09/2010 J.P. TURNER & COMPANY, L.L.C. (CRD# 43177) – STATEN ISLAND, NY
04/1998 – 08/1998 PAULSON INVESTMENT COMPANY, INC. (CRD# 5670) – CHICAGO, IL
09/1997 – 03/1998 PARAGON CAPITAL CORPORATION (CRD# 18555) – EAST HANOVER, NJ
FINRA expelled the firm in 02/2004
05/1997 – 10/1997 LT LAWRENCE & CO., INC. (CRD# 31956) – NEW YORK, NY
FINRA expelled the firm in 02/2000
10/1996 – 05/1997 CONTINENTAL BROKER-DEALER CORP. (CRD# 14048) – CARLE PLACE, NY
FINRA expelled the firm in 05/2004
05/1995 – 09/1996 STATE CAPITAL MARKETS CORPORATION (CRD# 13685) – NEW YORK, NY
10/1994 – 07/1995 HANOVER, STERLING & COMPANY LTD. (CRD# 15491) – NEW YORK, NY
06/1994 – 07/1994 HANOVER, STERLING & COMPANY LTD. (CRD# 15491) – NEW YORK, NY
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Rocco Guidicipietro and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com.
