Robert Michael Gianchiglia - FINRA · 2018-02-24 · Robert Michael Gianchiglia Section Title ......

BrokerCheck Report

Robert Michael Gianchiglia

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 2117250

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5 - 6

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Page(s)

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About BrokerCheck®

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Robert M. Gianchiglia

CRD# 2117250

Currently employed by and registered with thefollowing Firm(s):

USA FINANCIAL SECURITIESCORPORATION6020 E. FULTON STREETADA, MI 49301CRD# 103857Registered with this firm since: 04/18/2017

USA FINANCIAL SECURITIESCORPORATION6020 EAST FULTONADA, MI 49301CRD# 103857Registered with this firm since: 04/18/2017

USA FINANCIAL SECURITIESCORPORATION179 Shrewbury StreetWorchester, MA 01604CRD# 103857Registered with this firm since: 04/18/2017

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Criminal 2

Customer Dispute 5

Investment Adviser RepresentativeInformation

https://www.adviserinfo.sec.gov

The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at


This broker is registered with:

1 Self-Regulatory Organization

8 U.S. states and territories

This broker has passed:

0 Principal/Supervisory Exams

2 General Industry/Product Exams

2 State Securities Law Exams

Registration History

This broker was previously registered with thefollowing securities firm(s):

AMERITAS INVESTMENT CORP.CRD# 14869WORCESTER, MA08/2005 - 05/2017

INVESTORS CAPITAL CORP.CRD# 30613LYNNFIELD, MA07/2002 - 08/2005

NEW ENGLAND SECURITIESCRD# 615NEW YORK, NY09/1991 - 07/2002

www.finra.org/brokercheck User Guidance

1©2018 FINRA. All rights reserved. Report about Robert M. Gianchiglia.


https://adviserinfo.sec.gov/IAPD/IAPDSummaryRouter.aspx?IndividualID=2117250&Source=Report

http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.

This individual is currently registered with 1 SRO and is licensed in 8 U.S. states and territories through his orher employer.

Employment 1 of 1Firm Name:

Main Office Address:

Firm CRD#:

USA FINANCIAL SECURITIES CORPORATION

103857

6020 EAST FULTONADA, MI 49301

SRO Category Status Date

FINRA General Securities Representative APPROVED 04/18/2017

FINRA Invest. Co and Variable Contracts APPROVED 04/18/2017

U.S. State/Territory

Category Status Date

Connecticut Agent APPROVED 04/18/2017

Florida Agent APPROVED 04/18/2017

Georgia Agent APPROVED 08/14/2017

Hawaii Agent APPROVED 06/09/2017

Massachusetts Agent APPROVED 06/09/2017

New York Agent APPROVED 06/27/2017

Rhode Island Agent APPROVED 04/18/2017

Vermont Agent APPROVED 04/18/2017

Branch Office Locations

USA FINANCIAL SECURITIES CORPORATION179 Shrewbury StreetWorchester, MA 01604





http://www.finra.org/brokercheck_glossary



Employment 1 of 1, continued







Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 2 statesecurities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Investment Company Products/Variable Contracts Representative Examination 01/30/1991Series 6

General Securities Representative Examination 02/01/1994Series 7

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 02/05/1991Series 63

Uniform Investment Adviser Law Examination 12/19/1998Series 65

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

08/2005 - 05/2017 AMERITAS INVESTMENT CORP. 14869 WORCESTER, MA

07/2002 - 08/2005 INVESTORS CAPITAL CORP. 30613 LYNNFIELD, MA

09/1991 - 07/2002 NEW ENGLAND SECURITIES 615 NEW YORK, NY

01/1991 - 08/1991 RELIASTAR FINANCIAL MARKETING CORP. 4234 SEATTLE, WA

Employment History

Employment Dates Employer Name Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.

Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.

04/2017 - Present USA FINANCIAL SECURITIES ADA, MI

09/2014 - Present ROBERT M GIANCHIGLIA WORCESTER, MA

06/2010 - Present FINANCIAL RESOURCE PARTNERS WORCESTER, MA

02/2003 - Present EDIA-EASTERN DENTAL INS AGENCY WESTBOROUGH, MA

06/2002 - Present PIAM WESTBOROUGH, MA

08/2005 - 04/2017 AMERITAS INVESTMENT CORP LINCOLN, NE

08/2005 - 04/2017 AMERITAS LIFE INSURANCE CORP LINCOLN, NE

08/2005 - 12/2011 ACACIA LIFE INSURANCE CO BETHESDA, MD

08/2005 - 12/2011 UNION CENTRAL LIFE INSURANCE CINCINNATI, OH

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

FINANCIAL RESOURCE PARTNERS, LLC - 179 SHREWSBURY STREET, 2ND FLOOR, WORCESTER, MA 01604.START DATE 08/2010; OWNER; SALE AND SERVICE OF INSURANCE PRODUCTS; 200 HRS/MO DURINGTRADING HRS.ROBERT M GIANCHIGLIA; SAME AS RESIDENCE; APARTMENT RENTAL; OWNER; COLLECTS RENT ANDMAINTAINS PROPERTY; START DATE 04/2014; 5 HRS/MO; 0 HRS/MO DURING TRADING HRS







Other Business Activities, continuedFINANCIAL RESOURCE PARTNERS, LLC - 179 SHREWSBURY STREET, 2ND FLOOR, WORCESTER, MA 01604.START DATE 08/2010; OWNER; SALE AND SERVICE OF INSURANCE PRODUCTS; 200 HRS/MO DURINGTRADING HRS.ROBERT M GIANCHIGLIA; SAME AS RESIDENCE; APARTMENT RENTAL; OWNER; COLLECTS RENT ANDMAINTAINS PROPERTY; START DATE 04/2014; 5 HRS/MO; 0 HRS/MO DURING TRADING HRS






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customercomplaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civiljudicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular

criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules

or conduct governing the industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers,

brokerage firms and regulators. When more than one of these sources reports information for the samedisclosure event, all versions of the event will appear in the BrokerCheck report. The different versionswill be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or

(2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Pleasenote that brokers and brokerage firms may choose to settle customer disputes or regulatorymatters for business or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoingon the part of the individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker.Further information regarding these events can be found in the subsequent pages of this report. You also maywish to contact the broker to obtain further information regarding these events.

Final On AppealPending

Criminal 0 2 0






Customer Dispute 1 4 N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegationsthat are contested and have not been resolved or proven. The matter may, in the end, be withdrawn, dismissed,resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., tomaintain customer relationships or to limit the litigation costs associated with disputing the allegations) with noadmission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.

Criminal - Final Disposition

This type of disclosure event involves a criminal charge against the broker that has resulted in a conviction, acquittal,dismissal, or plea. The criminal matter may pertain to any felony or certain misdemeanor offenses, including bribery,perjury, forgery, counterfeiting, extortion, fraud, and wrongful taking of property.

Disclosure 1 of 2

Reporting Source: Broker

Court Details: MIDDLESEX COUNTY COURT, MIDDLESEX, NJN/A

Charge Date: 10/23/1974

Charge Details: 1) THREE CHARGES: RECEIVING STOLEN PROPERTY, MISUSE OF CREDITCARD, & ATTEMPT MISUSE OF CREDIT CARD; 2( MISDEMEANOR CHARGES;3) PLEASE NOT GUILTY; 4)CHARGES WERE NOT INVESTMENT RELATED AMOUNT NOT SIGNIFICANT AND UNKNOWN

Felony? No

Current Status: Final

Status Date: 11/01/1974

Disposition Details:

Broker Statement A BACHELOR PARTY WAS ONGOING. THE CREDIT CARD INQUESTION WAS MISTAKENLY USED. ALL AMENDS WERE MADE.DISORDERLYCONDUCT WAS THE VERDICT AND THE FINE WAS PAID. THIS OCCURED IN1973-1974 AND IS LONG FORGOTTEN SO THE DETAILS ARE SKETCHY.

MISDEMEANOR-DISORDERLY CONDUCT $100.00 FINE ANDCOURT COSTS THE FINE WAS PAID IMMEDIATELY 11/29/76

Disclosure 2 of 2

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Disclosure 2 of 2


Organization Name (ifcharge(s) were broughtagainst an organization overwhich broker exercisedcontrol):

N/A

Court Details: HUNTERDON COUNTY CRIMINAL COURT. FLEMINGTON, NJ (USA). #280 M72. 9/28/73.

Charge Date: 04/04/1973

Charge Details: POSS OF CDS 24:21-20A.3

Felony? Yes

Current Status: Final


Disposition Details:

Broker Statement 4/4/73 ORIGINALLY STOPPED FOR DUI. INDIVIDUAL DENIED ALLEGATIONSAND SUCCESSFULLY PASSED BREATHALYZER AND FIELD SOBRIETY TEST. POLICE DID NOT ACCEPT RGINDENTITY AND INVESTIGATED RG FURTHER TO VERIFY. POLICE SEARCHED VEHICLE AND CHARGED RGWITH POSSESSION OF CDS (POSS OF MARIJUANA LESS THAN 25 GRAMS). RG PLEADED GUILTY TOLESSER CHARGE MISDEMEANOR,UPON ADVISE OF LEGAL COUNSEL. DISPOSITION 1 YEAR PROBATION.DOCUMENTS TO BE SEALED THEREAFTER.

A. DISPOSITION - 1 YEAR PROBATION. B. 3/8/74. C. 1 YEAR PROBATION. D.NONE. E. 3/8/74. F. PENALTY - 1 YEAR PROBATION. G. N/A






Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civilsuit containing allegations of sale practice violations against the broker that resulted in a monetary settlement to thecustomer.

Disclosure 1 of 2

Reporting Source: Firm

Employing firm whenactivities occurred which ledto the complaint:

Allegations:

INVESTORS CAPITAL CORP. AND AMERITAS INVESTMENT CORP.

OVER TEN YEARS AFTER INVESTING WITH RR THROUGH ICC, CLAIMANTALLEGES THAT MULTIPLE INVESTMENTS MADE DURING THATASSOCIATION AND CONTINUING THROUGH RR'S AFFILIATION WITH ASUBSEQUENT BROKER-DEALER (INVESTMENTS MADE THROUGHDECEMBER 2007) HAD BEEN UNSUITABLE.

Product Type: Direct Investment-DPP & LP Interests

Alleged Damages: $183,582.08

Date Notice/Process Served: 11/13/2014

Arbitration Pending? No

Disposition: Dismissed

Disposition Date: 07/14/2015

Firm Statement MATTER WAS DISMISSED BY THE HEARING PANEL

Arbitration Information

Alleged Damages AmountExplanation (if amount notexact):

CLAIMANT'S ALLEGED DAMAGES INCLUDE AMOUNTS ATTRIBUTABLE TOINVESTMENTS MADE THROUGH TWO BDS. CLAIMANT HAD INVESTEDAPPROXIMATELY $70K WHILE THE RR WAS AFFILIATED WITH ICC.

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA

Docket/Case #: 14-03241

iReporting Source: Broker





https://www.finra.org/arbitration-and-mediation/arbitration-awards-online?search=14-03241



Allegations:


CLAIMANT ALLEGES UNSUITABLE INVESTMENTS, NEGLIGENT ACCOUNTMANAGEMENT, MISREPRESENTATION, BREACH OF CONTRACT, ANDBREACH OF FIDUCIARY DUTY. JULY 2004 - DECEMBER 2007.



Date Complaint Received: 11/13/2014

Complaint Pending? No

Status:


Settlement Amount:

Individual ContributionAmount:

Customer Complaint Information

Arbitration Information

Evolved into Arbitration/CFTC reparation (the individual is a named party)


CLAIMANT ALSO SEEKS ADDITIONAL DAMAGES TO BE DETERMINED.

Is this an oral complaint? No

Is this a written complaint? No

Is this an arbitration/CFTCreparation or civil litigation?

Yes

Arbitration/Reparation forumor court name and location:

FINRA


Filing date ofarbitration/CFTC reparationor civil litigation:

10/20/2014


FINRA






Date Notice/Process Served: 11/13/2014

Arbitration Pending? No

Disposition: Settled

Disposition Date: 11/17/2015

Monetary CompensationAmount:

$14,995.00

Broker Statement The arbitration was dismissed 7/14/15. However, a settlement was reached withthe client without any admission of wrong doing on the part of the RR.


$0.00


FINRA


Disclosure 2 of 2

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Reporting Source: Firm


Allegations:

NEW ENGLAND SECURITIES

CLIENT IS ALLEGING THAT HE WAS NOT TOLD HE WAS PURCHASING ANANNUITY, AND THAT HE NEVER RECEIVED A CONTRACT OR APROSPECTUS. CLIENT IS ALSO ALLEGING THAT THE REPRESENTATIVEHAD HIM SIGN BLANK FORMS.

Product Type: Annuity(ies) - Variable




Status:


Settlement Amount: $116,569.00


$0.00


Settled





https://www.finra.org/arbitration-and-mediation/arbitration-awards-online?search=14-03241



$0.00

Firm Statement CLIENT'S ALLEGATIONS WERE THOROUGHLY INVESTIGATED. NOEVIDENCE WAS FOUND TO SHOW THAT THE CLIENT SIGNED BLANKFORMS. THERE WERE SEVERAL REFERENCES TO 'ANNUITIES' IN THEANNUITY APPLICATION WHICH THE CLIENT SIGNED. WHILE THE COMPANYWAS NOT ABLE TO CONFIRM RECEIPT OF THE CONTRACT BY THE CLIENT,AND WHILE IT WAS DETERMINED THAT THE REPRESENTATIVE ACTEDAPPROPRIATELY IN THE SALE, IN AN EFFORT TO RESOLVE THIS MATTER,THE COMPANY REFUNDED THE CLIENT'S ORIGINAL DEPOSIT.

iReporting Source: Broker


Allegations:

NEW ENGLAND SECURITIES

CLIENT ALLEGING THAT HE WAS NOT TOLD HE WAS PURCHASING ANANNUITY, AND THAT HE NEVER RECEIVED A CONTRACT OR APROSPECTUS. CLIENT IS ALSO ALLEGING THAT THE REPRESENTATIVEHAD HIM SIGN BLANK FORMS

Product Type: Annuity(ies) - Variable




Status:


Settlement Amount: $116,569.00


$0.00

Broker Statement CLIENTS ALLEGATIONS WERE THOROUGHLY INVESTIGATED. NOEVIDENCE WAS FOUND THAT SHOW THAT THE CLIENT SIGNED BLANKFORMS. THERE WERE SEVERAL REFERENCES TO ANNUITIES IN THEANNUITY APPLICATION WHICH THE CLIENT SIGNED. WHILE THE COMPANYWAS NOT ABLE TO CONFIRM RECEIPT OF THE CONTRACT BY THE CLIENT,AND WHILE IT WAS DETERMINED THAT THE REPRESENTATIVE ACTEDAPPROPRIATELY IN THE SALE, IN AN EFFORT TO RESOLVE THIS MATTER,THE COMPANY REFUNDED THE CLIENTS ORIGINAL DEPOSIT.


Settled






CLIENTS ALLEGATIONS WERE THOROUGHLY INVESTIGATED. NOEVIDENCE WAS FOUND THAT SHOW THAT THE CLIENT SIGNED BLANKFORMS. THERE WERE SEVERAL REFERENCES TO ANNUITIES IN THEANNUITY APPLICATION WHICH THE CLIENT SIGNED. WHILE THE COMPANYWAS NOT ABLE TO CONFIRM RECEIPT OF THE CONTRACT BY THE CLIENT,AND WHILE IT WAS DETERMINED THAT THE REPRESENTATIVE ACTEDAPPROPRIATELY IN THE SALE, IN AN EFFORT TO RESOLVE THIS MATTER,THE COMPANY REFUNDED THE CLIENTS ORIGINAL DEPOSIT.






Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied

This type of disclosure event involves (1) a consumer-initiated, investment-related arbitration or civil suit containingallegations of sales practice violations against the individual broker that was dismissed, withdrawn, or denied; or (2) aconsumer-initiated, investment-related written complaint containing allegations that the broker engaged in sales practiceviolations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of fundsor securities, which was closed without action, withdrawn, or denied.

Disclosure 1 of 2



Allegations:


CLAIMANT ALLEGES MISREPRESENTATION AND UNSUITABLEINVESTMENTS. 3/2005-4/2008

Product Type: Direct Investment-DPP & LP InterestsOil & Gas




Status:


Settlement Amount:



Denied


Is this a written complaint? Yes


No

Disclosure 2 of 2

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Allegations:

AMERITAS INVESTMENT CORP.

COMPLAINANT ALLEGES MISSREPRESENTATION BY THE RR.

Product Type: Annuity-Variable

Alleged Damages: $1,617,800.00



Status:


Settlement Amount:



Closed/No Action


CLIENT REQEUSTS $1,617,800 PLUS INVESTMENTS CONVERTED TO CASH,WITH APPROPRIATE POSITIVE RETURNS, AND ALL FEES AND/ORPENALTIES PAID BY AMERITAS INVESTMENT CORP.




No






Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit thatcontains allegations of sales practice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that the broker engaged in, sales practice violations resulting incompensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of funds or securities.

Disclosure 1 of 1



Allegations:

AMERITAS INVESTMENT CORP.

BETWEEN 12/14/2009 AND 12/31/2016, CLAIMANT IS ALLEGINGNEGLIGENCE, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT,MISREPRESENTATION, UNSUITABLE TRADING AND FAILURE OFSUPERVISION.




Complaint Pending? Yes

Settlement Amount:




CLAIMANT IS SEEKING DAMAGES IN EXCESS OF $225,000 PLUS ANYOTHER RELIEF THAT IS DEEMED JUST AND PROPER.




Yes

Arbitration/Reparation forumor court name and location:

FINRA OFFICE OF DISPUTE RESOLUTION NORTHEAST REGIONAL OFFICE

Docket/Case #: ARBITRATION NUMBER 17-00693

Filing date ofarbitration/CFTC reparationor civil litigation:

03/13/2017






End of Report

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Robert Michael Gianchiglia - FINRA · 2018-02-24 · Robert Michael Gianchiglia Section Title ......

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