Victor Rigoni, III

Date:

August 19, 2020

Type of alert:

FINRA Complaint  

The Financial Industry Regulatory Authority (FINRA) Department of Enforcement recently filed a Complaint against registered representative Victor Rigoni, III for allegedly failing to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose unsatisfied federal and state tax liens.

Rigoni is currently associated with two FINRA member firms: Cetera Advisor Networks LLC and Summit Financial Group, Inc. since September 2019 and January 2011, respectively, in Lake Forest, Illinois.

According to the Complaint filed on August 3, 2020, Rigoni failed to timely amend his Form U4 to disclose six state and federal tax liens totaling almost $165,000. On average, Rigoni would disclose these liens 3.5 years after the fact and never disclosed a state tax lien totaling $11,304. According to the Complaint, Rigoni also made false statements on his annual compliance questionnaire between 2012 and 2017.

Rigoni’s FINRA BrokerCheck report reveals three customer disputes in between October 2018 and May 2019 that alleged breach of fiduciary duty, common law fraud, negligence, and misrepresentation, among other things. Settlement amounts ranged from $12,000 to $25,000. He also has a pending customer dispute alleging breach of contract and unsuitable recommendations with a damage request totaling $99,000.

Take the next steps to find out if you have a claim:

Step 1.

Talk to an Experienced Attorney Today

Call and speak to one of our attorneys* for a no-cost consultation to discuss your situation, answer your questions, and help you determine the next steps. This call usually takes about 15 minutes, but we are happy to talk to you as long as you would like!

Step 2.

Quick Review of Your Paperwork

If we think you might have a case, we will need to review a few basic documents. If we determine you have a case, then you will have the option to hire us as your attorneys to pursue it.

Step 3.

Signed Attorney/Client Agreement

If you decide to hire us to pursue your case, we will have you sign an attorney-client agreement so we can begin the process of trying to recover your losses.*

*In the vast majority of cases, our agreement is contingent – meaning you won’t owe us any money unless we recover money for you.


Request a Consultation

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer