Investor Seeks $2 Million in Damages in Dispute with Staci Compagno

Staci Compagno (CRD #: 2824392), a broker formerly registered with DFPG Investments, allegedly failed to supervise another broker, according to her BrokerCheck record, accessed on January 10, 2023. Keep reading to learn more about her alleged conduct as a broker.

Investor Dispute

On October 12, 2022, an investor alleged that Staci Compagno failed to supervise another broker in her role as Chief Compliance Officer at Allegis Investment Services. This misconduct allegedly occurred between July 2014 and May 2018. The client seeks $2 million in this pending dispute.

FINRA Rule 3110

Failure to supervise violates FINRA Rule 3110, which requires that firms establish supervisory systems to maintain their compliance with securities regulations. Firms must ensure that supervisory personnel have the training or experience necessary for their role.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also violate FINRA Rule 2010.

Background Information

Staci Compagno has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 52TO – Municipal Securities Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 14 – Compliance Officer Examination
• Series 53 – Municipal Securities Principal Examination
• Series 24 – General Securities Principal Examination

She previously worked for the following firms:

• DFPG Investments (CRD#:155576)
• Allegis Investment Services (CRD#:168557)
• Cetera Advisors Networks (CRD#:13572)
• AXA Advisors (CRD#:6627)
• InSphere Securities (CRD#:136433)
• Zions Direct (CRD#:17776)

Kurta Law Can Help

If you worked with Staci Compagno 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.