Brandon D. Gioffre Allegedly Participated in Private Securities Transactions without Providing Prior Notice to his Firm, Constellation Wealth Advisors LLC
Brandon D. Gioffre allegedly participated in private securities transactions without providing prior notice to his firm, Constellation Wealth Advisors LLC (CWA), according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.
Brandon D. Gioffre was permitted by CWA to resign after allegations came known of Gioffre allegedly soliciting a private placement not offered by the firm or approved as a private securities transaction or outside business activity, the aforementioned AWC goes on to allege.
The Peiffer Rosca Wolf securities lawyers are currently investigating Brandon D. Gioffre’s alleged participation in private securities transactions without prior notice.
Brandon D. Gioffre Allegedly Received $100,000 in Commissions for the Sale of Approximately $2,000,000 of Securities to Two Purchasers who Purportedly Lost Their Investments; Gioffre Barred by FINRA
Brandon D. Gioffre allegedly received $100,000 in commissions for the sale of approximately $2, 000,000 of securities to two purchasers who purportedly lost their entire investments, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.
By reason of the foregoing, Gioffre allegedly violated NASD and FINRA Rules and hence has been barred from associating with any FINRA member in any capacity, the AWC notes.
One should also note that, according to the AWC, Brandon D. Gioffre neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Brandon D. Gioffre’s alleged participation in private securities transactions without providing prior notice to his firm. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Brandon D. Gioffre’s alleged participation in private securities transactions without providing prior notice to his firm may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.
from Investment Fraud Lawyers | Investor Loss Recovery http://ift.tt/2aNelvg
via Securitieslitigatos.com
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