Victor Rigoni, III is a former registered broker and investment advisor whose last known employer was Cetera Advisor Networks LLC (CRD#:13572) of Lake Forest, IL. His previous employers include Summit Brokerage Services, Inc. (CRD#:34643) and Cambridge Investment Research, Inc. (CRD#:39543), also of Lake Forest, and Edward Jones (CRD#:250) of Antioch, IL. He has been in the industry since 2000. Rigoni was affiliated with North Shore Capital Group and did business through this business.
FINRA issued a complaint on 8/3/2020 after it was reported that he failed to disclose multiple state and federal tax liens in a timely fashion, and falsely attested to his compliance in regular company compliance questionnaires. Rigoni has eight liens, totaling $164,521, and were disclosed roughly 3.5 years late on a regular basis. He also failed to report a state lien of $11,304 even after being notified by FINRA of the lien. Although FINRA requests that Rigoni pay for the costs of the disciplinary action, the case is still listed as “pending.” Rigoni denies the allegations.
Victor Rigoni resigned from Cetera on 8/7/2020 as a result of the FINRA investigation and action.
Four customer disputes filed in 2019 allege breach of contract and fiduciary duties, misrepresentation, negligence, and fraud. The first, filed on 12/3/2019, requests damages of $99,000, and is currently listed as “Pending.”
The dispute filed on 5/13/2019 requested damages of $100,000, and was settled for $25,000. A dispute filed on 4/23/2019, with requested damages of $99,000 was settled for $13,999. The fourth dispute filed on 10/26/2018 requested damages of $125,000 and was settled for $12,000.
Did You Invest With Victor Rigoni?
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