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Investigation of Summit Brokerage Services, Inc. Broker Victor Rigoni III

Posted on Friday, February 1st, 2019 at 11:09 am    

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Did you lose money investing with Summit Brokerage Services, Inc. broker Victor Rigoni III (CRD# 4272056)?. Rigoni has been registered with Cetera Advisor Networks LLC in Lake Forest, Illinois since September 2019. Previously, Rigoni was registered with Summit Brokerage Services, Inc. in Lake Forest, Illinois from 2010 to 2019.

Rigoni has been the subject of six customer complaints between 2008 and 2019, one of which was denied, according to his CRD report. Recent complaints are regarding:

December 2019. “Client alleges breach of contract, unsuitable recommendations.” The customer is seeking $99,000 in damages and the case is currently pending. This complaint is regarding variable annuities and real estate investment trusts (REITs).

May 2019. “Claimant alleges breach of fiduciary duty, common law fraud, and negligence.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint is regarding REITs.

April 2019. “Client alleges breach of contract, fraud, misrepresentation, breach of fiduciary duty, and violation of FINRA rules.” The customer sought $99,000 in damages and the case was settled for $13,999.

October 2018. “Client alleges breach of contract, fraud, misrepresentation, breach of fiduciary duty and violation of FINRA rules.” The customer is seeking $125,000 in damages and the case was settled for $12,000. This case is regarding real estate securities.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Summit Brokerage Services, Inc. may be liable for investment or other losses suffered by Rigoni’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.