Vincenzo P. Garganese, MML Investors Services – Investor Alert for Portland, ME Clients
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Haselkorn & Thibaut, a national law firm focusing on securities fraud and investment loss recovery, is currently investigating Vincenzo P. Garganese (CRD# 6760844), a Portland, Maine-based financial advisor with MML Investors Services, LLC (CRD# 10409). If you have invested with Mr. Garganese, understanding recent developments and allegations is crucial to protecting your financial interests and exploring your potential recovery options.
Overview of Vincenzo P. Garganese’s Professional Background
| Name | Vincenzo P. Garganese (Also known as Vicenzo Hart, Vincenzo Pietro Hart) |
| Current Firm | MML Investors Services, LLC |
| Main Office Locations | 254 Commercial St., Suite 245, Portland, ME 04101 and 75 Leighton Rd., Bldg 3, Falmouth, ME 04105 |
| Prior Firm(s) | MSI Financial Services, Inc. (02/2017–03/2017) |
| Other Affiliations | VIS WEALTH Partners, LLC |
| Licensing & Exams | Series 6, 7, 63, 65 |
Complaints & Disputes Involving Vincenzo Garganese
Understanding regulatory disclosures and customer complaints is integral when assessing your advisor’s record. Below is a summary of all known disputes and relevant details as of September 2025:
-
Pending Customer Dispute (Filed July 15, 2025 | FINRA Case No. 202507160109):
A group of clients has alleged that Mr. Garganese, while with MML Investors Services, engaged in high-pressure sales tactics, misrepresentations, and failures to disclose material information regarding a 401(k) Plan starting around February 2021. The estimated damages are approximately $457,178. This case is currently unresolved. -
Settled Customer Dispute (Resolved October 2024 | FINRA Case No. 202408060035):
A customer claimed that Mr. Garganese recommended unsuitable, aggressive stock investments to a conservative investor beginning in 2020. This matter concluded in a settlement for $100,000 in October 2024.
Both complaints involve alleged breaches of key regulatory rules, particularly:
- FINRA Rule 2111 (Suitability): Mandating that brokers only recommend investments suitable for their clients’ risk tolerance and objectives.
- Regulation Best Interest (Reg BI): Requiring advisors to act in their clients’ best interests, especially in terms of full disclosure and care obligations.
What Do These Allegations Mean for Investors?
If you’re a current or former client of Vincenzo Garganese, it’s essential to evaluate whether any high-pressure sales strategies, unsuitable investment recommendations, or failures to disclose critical information were present in your experience. Even if you haven’t filed a complaint, you may have grounds to seek recovery if your account suffered losses due to these or similar issues.
Review of Regulatory History and BrokerCheck
According to the FINRA BrokerCheck report (latest available as of June 2024), Vincenzo P. Garganese’s profile listed:
- No regulatory actions, civil lawsuits, or employment terminations for cause prior to the events described above
- No bankruptcies or financial-related judgments
However, this public record has since been supplemented with the above-mentioned customer disputes, indicating new concerns investors should be aware of.
Red Flags Identified
When examining the recent events connected to Mr. Garganese, investors should be mindful of the following red flags:
- Pervasive use of high-pressure sales practices
- Alleged misrepresentation or omission of critical investment facts
- Recommendations of aggressive, unsuitable investments to risk-averse clients
- Failure to clearly disclose material information about investment risks
These patterns, if proven, may provide grounds for seeking damages through FINRA arbitration or negotiation.
FINRA Arbitration and Your Rights
If you believe you’ve suffered losses in an account handled by Vincenzo P. Garganese, you may be eligible to recover damages through FINRA arbitration. This process offers investors an efficient, cost-effective alternative to traditional litigation for resolving disputes with registered financial professionals.
Why Contact Haselkorn & Thibaut?
Haselkorn & Thibaut (investmentfraudlawyers.com) is a nationwide securities law firm with over 50 years of combined experience, a 98% success rate, and millions recovered for clients facing financial advisor misconduct.
- No recovery, no fee – you pay no attorney’s fees unless you win
- Complimentary consultations for all new clients
- Personalized, confidential case review, focused on maximizing investor recovery
What Should You Do Next?
If you have questions about investments managed by Vincenzo P. Garganese or concerns about your MML Investors Services account, act now to protect your rights and seek guidance on your potential options. The earlier you address possible losses or questionable conduct, the stronger your opportunity may be to maximize recovery.
Ready for answers? Get your free, no-obligation consultation today by calling Haselkorn & Thibaut at 1-888-994-8066.
Let experienced professionals evaluate your situation. Your financial future deserves protection.
Summary Table – Vincenzo P. Garganese Complaint History
| Date | Status | Allegation | Amount |
|---|---|---|---|
| July 2025 | Pending | High-pressure sales, misrepresentation, failure to disclose material facts (401(k) Plan) | $457,178 |
| August 2024 | Settled | Recommendation of unsuitable, aggressive stocks to conservative client | $100,000 (settlement) |
Connect with Haselkorn & Thibaut today for clear answers on your investments involving Vincenzo Garganese and MML Investors Services, Portland, ME. Call 1-888-994-8066 now.
