Last Updated: September 2025 – Portland, ME
Here’s what you need to know about Portland, ME, stockbroker Vincenzo P. Garganese:
- Name: Vincenzo P. Garganese
- Alias: Vicenzo Hart, Vincenzo Pietro Hart
- Current Employer: MML Investors Services, LLC (CRD #10409). Primary branch locations listed at 254 Commercial St., Suite 245, Portland, ME 04101 and 75 Leighton Rd., Bldg 3, Falmouth, ME 04105.
- Prior Firms: MSI Financial Services, Inc. (02/2017–03/2017).
- Other Business Affiliations: VIS WEALTH Partners, LLC
- CRD number: 6760844.
- Stockbroker / Financial Advisor. (Currently registered with FINRA and licensed in multiple states.)
- Can Broker be Sued in FINRA: Yes
- Highest Award of Settlement: $100,000
- Current Customer Dispute Seeks Total Damages of: $457,178
If you’ve sustained damages from Mr. Garganese, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Vincenzo P. Garganese As Your Stockbroker?
- Pending customer dispute (July 15 2025 | Case No. 202507160109): While associated with MML Investors Services, LLC, the complainants allege pervasive and high-pressure advisory and investment sales practices, including misrepresentations and failure to provide material disclosures, in connection with a 401(k) Plan beginning around February 2021. The customers estimate damages at approximately $457,178
- Settled customer dispute (August 2024 | Case No. 202408060035): While at MML Investors Services, LLC, a customer alleged that Mr. Garganese recommended unsuitable aggressive stocks to a conservative investor starting in 2020. The matter settled for $100,000 in October 2024 .
FINRA Rule 2111- suitability -Regulation Best Interest
Allegations of Broker Misconduct Against Vincenzo P. Garganese (aka Hart)
FINRA and the SEC require brokers to recommend only suitable investments and to act in retail customers’ best interests.
- Unsuitable Recommendations (e.g., recommending aggressive equities to a conservative investor) — may implicate FINRA Rule 2111 and Reg BI.
- Misrepresentation/Omission of Material Facts — may implicate Reg BI (Disclosure Obligation) and FINRA Rule 2010.
- Failure to Provide Material Disclosures — may implicate Reg BI (Disclosure & Care Obligations).
- High-Pressure Sales Practices
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other MML Investors Services brokers
If you have suffered investment losses in an account handled by Vincenzo P. Garganese, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.