Gaetano Ciambriello Subject to FINRA Investigation
Gaetano Ciambriello (CRD #: 6948879), a broker formerly registered with Citigroup Global Markets is subject to a FINRA investigation for allegedly failing to respond to FINRA requests for information. This is according to his BrokerCheck Record, accessed on November 8, 2021. Read on for more information.
Gaetano Ciambriello consented to the findings that he failed to appear for on-the-record testimony, as he is required to do under FINRA Rule 8210. FINRA was investigating his termination from CitiGroup Global Markets and allegations that he engaged in an undisclosed outside business activity.
He has one outside business listed on his detailed BrokerCheck record: Residential Mortgage Loan Consultatant for AFC Mortgage Group
Reach out to Kurta Law today if Gaetano Ciambriello solicited you for an investment in an outside business.
On September 14, 2021, FINRA made a preliminary determination to recommend that disciplinary action be brought against Gaetano Ciambriello. This followed allegations that he violated FINRA Rules 8210 and 2010 in that he failed to provide information and documents. His alleged conduct is a violation of FINRA Rule 8210.
FINRA Rule 8210 requires that FINRA brokers provide information under oath if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding.
A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”
On June 12, 2021, Citigroup Global Markets fired Gaetano Ciambriello following allegations of excessive use of the firm’s late-night meal program.
Gaetano Ciambriello has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- Series 3 – National Commodity Futures Examination
- Series 7TO – General Securities Representative Examination
- SIE – Securities Industry Essentials Examination
He has worked for the following firms:
- Citigroup Global Markets (CRD#:7059)
Kurta Law Can Help
If you have been victimized by Gaetano Ciambriello, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.