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Derek Ghiotto Of PNC Investments Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Derek Ghiotto of PNC Investments?

Derek Ghiotto (CRD #6128309) who is currently registered with PNC Investments and located in Plainfield, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  

Derek Ghiotto Customer Complaints

Derek Ghiotto has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Derek Ghiotto’s customer complaints were settled in favor of investors.

Allegations Against Derek Ghiotto

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Breach of fiduciary duty and breach of contract related to a managed account asset allocation.
  • Failure to disclose surrender penalty associated with an annuity exchange.

Derek Ghiotto Red Flags & Your Rights As An Investor

Of course, Derek Ghiotto did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Derek Ghiotto at PNC Investments on alert to review carefully the activity and performance of their accounts and question whether Derek Ghiotto has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PNC Investments also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At PNC Investments Due To Derek Ghiotto

If you have questions about PNC Investments and/or Derek Ghiotto and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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