March 22, 2022 – An AWC was issued in which Michael Joseph Giannetti was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Giannetti consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with an investigation concerning his potential participation in undisclosed OBAs while associated with his member firm. (FINRA Case #2021071546601)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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