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Ronald Giovino: Barred By FINRA Following Allegations

Ronald Giovino (CRD #: 2236071), a former broker, has been barred by FINRA, according to his BrokerCheck record, accessed on September 29, 2021. This bar originated from information received by the FINRA Securities Helpline for Seniors.

On July 8, 2021, Ronald Giovino entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he accepted the findings that he refused to produce information requested by FINRA in connection with its investigation into whether he converted investor funds. You can read a copy of the bar here.

He has a related employment separation on his record. On July 8, 2021, GWN Securities fired Ronald Giovino following allegations that he failed to produce information requested by FINRA.

There is a FINRA investigation on his record. On April 8, 2021, FINRA initiated an investigation in Ronald Gorvino’s conduct due to an investor complaint that alleged he broke regulatory rules by entering into a loan agreement with the client. According to FINRA Rule 2370, investors can only borrow money from customers under limited circumstances, such as when the client is a member of the broker’s immediate family.

Ronald Giovino Background Information

Ronald Giovino has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination
  • Series 26 Investment Company Products/ Variable Contracts Principal Examination

Ronald Giovino has worked with the following firms:

  • Legend Equities Corporation (CRD #: 30999)
  • GWN Securities (CRD #: 128929)
  • Money Concepts Capital Corp (CRD #: 12963)
  • Royal Alliance Associates (CRD #: 23131)
  • Prime Capital Services (CRD #: 18334)
  • Legend Equities Corporation (CRD #: 30999)
  • Legend Capital Corporation (CRD #: 4149)

Kurta Law Can Help

If you worked with Ronald Giovino and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email