Brandon D. Gioffre—Private Securities Transactions without Proper Prior Notice

investment fraud attorney ClevelandBrandon D. Gioffre Allegedly Participated in Private Securities Transactions without Providing Prior Notice to his Firm, Constellation Wealth Advisors LLC

Brandon D. Gioffre allegedly participated in private securities transactions without providing prior notice to his firm, Constellation Wealth Advisors LLC (CWA), according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

Brandon D. Gioffre was permitted by CWA to resign after allegations came known of Gioffre allegedly soliciting a private placement not offered by the firm or approved as a private securities transaction or outside business activity, the aforementioned AWC goes on to allege.

The Peiffer Rosca Wolf securities lawyers are currently investigating Brandon D. Gioffre’s alleged participation in private securities transactions without prior notice.

Brandon D. Gioffre Allegedly Received $100,000 in Commissions for the Sale of Approximately $2,000,000 of Securities to Two Purchasers who Purportedly Lost Their Investments; Gioffre Barred by FINRA

Brandon D. Gioffre allegedly received $100,000 in commissions for the sale of approximately $2, 000,000 of securities to two purchasers who purportedly lost their entire investments, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

By reason of the foregoing, Gioffre allegedly violated NASD and FINRA Rules and hence has been barred from associating with any FINRA member in any capacity, the AWC notes.

One should also note that, according to the AWC, Brandon D. Gioffre neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Brandon D. Gioffre’s alleged participation in private securities transactions without providing prior notice to his firm. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Brandon D. Gioffre’s alleged participation in private securities transactions without providing prior notice to his firm may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1141 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.