Sandy CHARLES Giglio

Sandy CHARLES Giglio is currently employed as a Broker and/or Investment Adviser at INNOVATION PARTNERS LLC located at 5950 FAIRVIEW ROAD, SUITE 806, CHARLOTTE, NC, 28210.

Sandy CHARLES Giglio has worked at INNOVATION PARTNERS LLC since June 17, 2016

Disclosure History

Sandy CHARLES Giglio has 6 Disclosure Event(s).

Date: January 13, 2012
Category: Financial
Type: Bankruptcy
Broker Comment: COULD NOT PAY CURRENT DEBT AND MORTGAGE.

Date: October 08, 2009
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: CREDIT CARD DEBT TOO GREAT TO PAY OUT OF CURRENT EARNINGS.

Date: June 02, 1999
Category: Employment Separation After Allegations
Firm Name: 1ST GLOBAL CAPITAL CORP
Termination Type: Discharged
Allegations: MR. GIGLIO FORGED SIGNATURE OF CLIENT ON A CHANGE OF BROKER/DEALER FORM.
Broker Comment: MR. GIGLIO DID NOT PASS HIS SERIES 7 EXAME IN A TIMELY MANNER.

Date: September 11, 1997
Category: Customer Dispute
Allegations: THAT THE REPRESENTIVE, SANDY GIGLIO FORGED A CLIENTS NAME ON A CHANGE OF BROKER DEALER FORM. NO MONEY SPECIFIED
Damage Amount Requested: $20,000.00
Settlement Amount: $20,000.00

Date: June 23, 1997
Category: Regulatory

Date: March 15, 1996
Category: Customer Dispute
Allegations: THAT THE REPRESENTATIVE, SANDY GIGLIO, FORGEDA CLIENTS NAME ON A CHANGE OF BROKER DEALER FORM. NO MONEYSPECIFIED.
Settlement Amount: $20,000.00
Broker Comment: N/ANOT PROVIDED

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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