Haselkorn & Thibaut, a national investment fraud law firm, has opened an investor fraud investigation into Vincenzo P. Garganese (also known as Vicenzo Hart, Vincenzo Pietro Hart, CRD# 6760844), a financial advisor registered with MML Investors Services, LLC (CRD #10409) in Portland, Maine. If you are a current or former client of Vincenzo P. Garganese, understanding your rights and next steps is crucial—especially if you have experienced significant investment losses.
Who Is Vincenzo P. Garganese (Vicenzo Hart, Vincenzo Pietro Hart)?
Table of Contents
Vincenzo P. Garganese is a licensed stockbroker and investment advisor registered with MML Investors Services, LLC, operating primarily out of Portland, ME. His career began in 2017 with MSI Financial Services, Inc. before moving to MML Investors Services, where he continues to serve clients out of Portland and Falmouth, Maine. He is also affiliated with VIS Wealth Partners, LLC.
Background: Registration & Professional Profile
| Advisor Name | Vincenzo P. Garganese (aka Vicenzo Hart, Vincenzo Pietro Hart) |
| CRD Number | 6760844 |
| Current Broker-Dealer | MML Investors Services, LLC (CRD #10409) |
| Main Office Locations | 254 Commercial St., Suite 245, Portland, ME 04101 75 Leighton Rd., Bldg 3, Falmouth, ME 04105 |
| Other Affiliations | VIS Wealth Partners, LLC |
Haselkorn & Thibaut’s Investigation Focus
Haselkorn & Thibaut’s investigation centers on allegations of unsuitable investment recommendations, misrepresentations, high-pressure sales tactics, and potential violations of industry standards and regulations by Vincenzo Garganese while operating under MML Investors Services, LLC. Recognizing the impact possible advisor misconduct can have on Maine investors, this inquiry is aimed at helping clients recover losses and understand their legal options.
Summary of Customer Complaints & Disputes
Reviewing publicly available regulatory records and recent legal updates, here are the known complaints involving Vincenzo P. Garganese of MML Investors Services, LLC in Portland, ME:
-
Pending Customer Dispute (Filed: July 15, 2025 | Case No. 202507160109)
Nature of Allegations: The client alleges that, starting in February 2021, Vincenzo Garganese engaged in high-pressure advisory tactics, provided incomplete or misleading information, and failed to disclose material facts related to 401(k) plan investments. The claim asserts damages totaling approximately $457,178 and centers on accusations of misrepresentation and omission of material information. -
Settled Customer Dispute (Filed: August 2024 | Case No. 202408060035)
Nature of Allegations: The complaint involved allegations that Mr. Garganese recommended unsuitable, aggressive securities to a conservative investor in 2020 while affiliated with MML Investors Services. The matter was settled for $100,000 in October 2024.
Key Red Flags for Investors
- Unsuitable Recommendations: Allegations suggest that recommendations did not align with clients’ risk tolerance or investment profile, a direct breach of FINRA’s suitability standard and Regulation Best Interest (Reg BI).
- High-Pressure Sales Practices: Multiple claims note aggressive sales tactics, a concerning warning sign for retail investors.
- Misrepresentation and Omission of Material Facts: Complaints indicate that important disclosures may have been omitted or misrepresented, preventing clients from making fully informed decisions.
- Significant Settlements: With one client dispute settling for $100,000 and another claim of over $450,000 in pending damages, these figures underscore the potential gravity and financial impact tied to the allegations against Mr. Garganese.
What Does This Mean for Current and Former Clients?
If you worked with Vincenzo P. Garganese in Portland, ME, or elsewhere with MML Investors Services and suffered investment losses, these disputes should be considered serious red flags. Regulators require financial advisors to act in clients’ best interests, thoroughly disclose risks, and avoid unsuitable recommendations.
Recently reported claims—especially allegations of unsuitable recommendations and incomplete information—are clear calls to action for clients to re-examine their portfolios and advisory relationships.
Your Rights as an Investor: Next Steps
- Request a Free Consultation: Haselkorn & Thibaut provides confidential, no-cost reviews of client accounts to identify potential advisor misconduct, investment fraud, or claims for recovery. With over 50 years of experience, a 98% success rate, and millions recovered nationwide, our team stands ready to assist.
- Contingency Fee Model—No Recovery, No Fee: You pay nothing unless we win your case or recover funds.
- Nationwide Representation: With offices around the country, Haselkorn & Thibaut assists clients from Maine and across the United States in pursuing financial advisor and investment firm claims, including those against MML Investors Services.
- FINRA Arbitration Support: Most disputes with financial professionals are resolved through FINRA arbitration, a process Haselkorn & Thibaut navigates daily for clients—offering invaluable knowledge and peace of mind.
Why Choose Haselkorn & Thibaut?
- Over 50 years of combined securities law and FINRA arbitration experience
- 98% success rate—our results speak for themselves
- Nationwide presence—we represent investors, not brokers or the industry
- No recovery, no fee—you have nothing to lose
Protect Your Financial Future — Speak With a Securities Attorney
If you invested with Vincenzo P. Garganese (aka Vicenzo Hart, Vincenzo Pietro Hart) of MML Investors Services, LLC in Portland, ME, review your statements and evaluate any questionable activity. If you noticed unexpected losses, unsuitable trades, or felt pressured into investments, you owe it to yourself and your family to learn your options.
Contact Haselkorn & Thibaut today at 1-888-994-8066 for a free, confidential case evaluation. You may be eligible to recover losses through a no-obligation, no-fee legal process
