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Mary Giardina Allegedly Misrepresented Exchange-Traded Note

Nov 22, 2022 Misrepresentation

Mary Giardina (CRD #: 7201977), a broker registered with Equitable Advisors, allegedly misrepresented an investment, according to her BrokerCheck record, accessed on November 7, 2022. Read on if you want to know more about her conduct as a broker.

Investor Dispute

On September 5, 2022, an investor alleged that Mary Giardina misrepresented an exchange-traded note purchased in 2021. This dispute was denied by the firm.

However, investors should know that firms don’t need to allow an external review before denying a dispute. Investors can pursue FINRA arbitration after a denial and may be able to recoup their losses.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence investors’ decisions. Misrepresenting an investment’s risks, requirements, or other features violates this rule.

Background Information

Mary Giardina has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

Mary Giardina is a registered broker in Indiana and Ohio. 

Kurta Law Can Help

If you worked with Mary Giardina and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.