Investigating Complaints Against Victor Rigoni and Summit Brokerage Services, Inc.

Did you suffer investment losses after working with Victor A. Rigoni III, a/k/a Victor Rigoni, a broker and financial advisor registered with the Financial Industry Regulatory Authority (FINRA) through the Lake Forest, Illinois office of Summit Brokerage Services, Inc. (Summit) If so, the attorneys of Investment Loss Recovery Group want to help you. We are now investigating potential complaints against Victor Rigoni.

Our law firm works with clients nationwide who have lost money due to the negligence and/or misconduct of brokers and financial advisors whom they had trusted to provide sound investment advice and to ethically and responsibly handle their accounts. We bring more than 40 years of combined legal experience to our clients as well as in-depth knowledge of the financial services industry. Both of our attorneys have backgrounds as licensed securities brokers and as defense counsel for large Wall Street brokerage firms.

Contact us today if you incurred investment losses after working with Mr. Rigoni or Summit. We will review your potential claims in a free and confidential consultation.

Who Is Victor A. Rigoni III?

You can find information about Victor A. Rigoni (CRD# 4272056) through two databases which are available online and accessible by the public, the FINRA Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD). Based on his FINRA BrokerCheck Report and his IARD Public Disclosure Report:

Mr. Rigoni has worked in the financial services industry since 2000. Over the course of his career, he has been registered with several FINRA firms, he has been registered through:

  • Edward Jones in Antioch, IL. (2000-2008)
  • Cambridge Investment Research, Inc. in Lake Forest, IL. (2008-2010)
  • Summit Brokerage Services, Inc. in Lake Forest, IL. (2010 present)

FINRA Brokercheck records reflect Mr. Rigoni was registered with a FINRA Series 7 license in 2000, Series 63 license in 2000, and Series 66 license in 2008. Mr. Rigoni’s FINRA Brokercheck report discloses seven judgment/lien matters since 2005, and three customer dispute disclosures.

What is the Recent Customer Dispute Reported on Victor Rigoni’s FINRA Brokercheck?

The most recent customer dispute disclosure on Victor Rigoni’s of which was filed in March 2018, remains pending (as of February 2019) and includes allegations of contract, fraud, misrepresentation, breach of fiduciary duty and violation of FINRA rules. See FINRA Brokercheck report for additional details.

How Can You Recover Investment Losses Involving Mr. Rigoni or Summit?

If you suffered investment losses involving Mr. Rigoni or Summit or if you suspect your accounts or investments were handled negligently or improperly, you may wish to seek legal advice and a no-cost review of your accounts or investments as soon as possible. You may be entitled to a recovery of your losses in addition to other damages. You may also have the right to file a private, confidential FINRA complaint against any broker, or brokerage firm that failed to properly handle your investment account, or may have failed to adequately supervise your investment accounts, or Mr. Rigoni’s conduct as a broker and financial advisor.

The skilled securities arbitration and investment fraud lawyers of Investment Loss Recovery Group have an insider’s view of the legal and regulatory issues that can affect a case, and we understand how brokerage firms evaluate these matters. We can review your case and present you with a strategic plan to help you recover your investment losses as expeditiously as possible.

We serve clients throughout the country. Contact us today for a free consultation and find out more about how we can assist you.

Scroll to Top