According to FINRA, Brandon Daryl Gioffre (CRD #2854741, South Salem, New York) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Gioffre consented to the sanction and to the entry of findings that he participated in private securities transactions without providing prior notice to his member firm. The findings stated that Gioffre allegedly received commissions totaling $100,000 for the sale of approximately $2 million of securities to purchasers, who lost their entire investments.
Gioffre purportedly recommended to several people, including a customer of his firm, an investment in a private placement that was not offered through the firm. Gioffre allegedly created the false impression that the firm sanctioned the private placement by meeting with the issuer and potential investors at the firm’s offices and using his firm-issued email address to communicate with the issuer and potential investors.
For FINRA’s full finding see FINRA Case #2015046448701.
According to FINRA BrokerCheck, Gioffre was registered with Constellation Wealth Advisors in New York, NY from 07/2014 – 08/2015, and with Morgan Stanley, in New York, NY from 06/2009 – 06/2014.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm and it’s representation of investors, visit http://whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call the firm at 1-888-637-5510.
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Brandon Gioffre recovery options Last modified: August 17, 2016
