Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Illinois-based Summit Brokerage Services broker/adviser Victor Rigoni III has been involved with resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rigoni (CRD# 4272056).
Victor Rigoni has spent 18 years in the securities industry and has been registered with Summit Brokerage Services in Lake Forest, Illinois since 2010. Previous registrations include Cambridge Investment Research in Lake Forest, Illinois (2008-2010) and Edward Jones in Antioch, Illinois (2000-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 14, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 12, 2000; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 9, 2000. He is a registered broker and investment adviser with four US states: Illinois, Indiana, New York, Wisconsin.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, one denied customer complaint, and seven unsatisfied judgments or liens.
In October 2018 a customer alleged Victor Rigoni, while employed at Summit Brokerage Services, committed fraud, breached contract, misrepresented material facts related to an investment, breached his fiduciary duty, and violated FINRA rules. The customer is seeking $125,000 in damages in the pending complaint.
In March 2018 the Illinois Department of Revenue filed a tax lien totaling $7,828.38 against him. The lien remains outstanding.
In 2016 the Illinois Department of Revenue filed a tax lien totaling $6,743 against him. The lien remains outstanding.
In 2014 the Internal Revenue Service filed a tax lien totaling $19,883.75 against him. The lien remains outstanding.
In 2012 the Internal Revenue Service filed a tax lien totaling $4,644.36 against him. The lien remains outstanding.
In 2010 a customer alleged Victor Rigoni, while employed at Cambridge Investment Research, executed transactions for the purpose of generating commissions, generated excessive commissions, recommended unsuitable investments, and engaged in unauthorized trading. The complaint settled for $63,742.
In 2008 a customer alleged Victor Rigoni, while employed at Edward Jones, made inappropriate trades that resulted in losses. The customer sought $6,183 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Victor Rigoni, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.