Steve Giannantonio: Suitability Complaint Against Aegis Advisor

Recent investor complaints against New York City financial advisor Steve Giannantonio (CRD# 2309181) allege that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.

Mr. Giannantonio’s BrokerCheck report discloses three investor complaints. The most recent, filed in April 2026, alleges that as a representative of Aegis Capital, he recommended unsuitable investments, breached his fiduciary duty, and violated Regulation Best Interest in connection with a private placement. The pending complaint alleges unspecified damages.

An earlier investor complaint. Filed in 2025, similarly alleges that as an Aegis representative, he recommended unsuitable investments, breached his fiduciary duty, made material misrepresentations and omissions, and breached contract. The pending complaint alleges unspecified damages.

A third investor complaint, filed in 2001, alleged that as a representative of Glenn Michael Financial, he converted funds, churned investments, breached his fiduciary duty, committed fraud, and recommended unsuitable investments. The complaint evolved into an arbitration proceeding before an NASD panel, which issued an award to the customer of $6,500.

A fourth disclosure on his BrokerCheck report concerns a FINRA sanction against Mr. Giannantonio. Filed in 2016, it described allegations that he “exercised discretion in executing transactions in a customer’s account without obtaining prior written authorization from the customer or written approval of the account as discretionary from his member.” As a result of these findings, FINRA suspended him for 10 business days and ordered him to pay a fine of $5,000.

According to the Financial Industry Regulatory Authority, Steve Giannantonio holds 31 years of securities industry experience. Based in New York City, he has been registered as a broker with Aegis Capital since 2013. His past registrations include John Thomas Financial, Rockwell Global Capital, EKN Financial Services, Laidlaw & Company, Trident Partners, Glenn Michael Financial, AXA Advisors, Shamus Group, Investors Associates, Americorp Securities, TR Winston & Company, and Oppenheimer & Company. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7. He holds 21 state licenses. (Information current as of June 20, 2026.)

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