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Articles Tagged with unauthorized trading

Mickey Schreiber (CRD#: 1032600), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Red Bank, New Jersey, is currently involved in a pending customer dispute in which a customer is seeking nearly $100,000 in damages, according to his BrokerCheck record accessed on March 24, 2020.  On February 11, 2020, a client filed a complaint […]

Emmanuel Kouyoumdjian (CRD#: 4121199), a former registered representative who also goes by Manny K, has consented to a final judgement from the U.S. District Court for the Southern District of Florida. According to a February 18, 2020 press release issued by the Securities and Exchange Commission (SEC), Emmanuel Kouyoumdjian acted as an unregistered broker for […]

Gregory Collier (CRD#: 1408843), a registered representative with Raymond James Financial Services, Inc. (CRD#: 6694) in Mt. Dora, Florida, is currently involved in a $500,000 customer dispute, according to his BrokerCheck record accessed on March 3, 2020. What happened to lead to this customer dispute? A client alleged that Gregory Collier made unauthorized trades in […]

David Melilli (CRD#: 5254172) has been terminated from his role as a broker at Cambridge Investment Research, Inc., according to his BrokerCheck record accessed on February 20, 2020. Cambridge Investment Research discharged David Melilli on January 23, 2020 after the firm found that he placed discretionary trades without proper authorization. What is unauthorized trading? Unauthorized […]

Victor Rigoni (CRD#: 4272056), a registered representative with Cetera Advisor Networks, LLC in Lake Forest, Illinois, is currently involved in two customer disputes totalling nearly $200,000, according to his BrokerCheck record accessed on January 23, 2020. On December 3, 2019, Victor Rigoni became involved in a customer dispute in which a client alleges that he […]

Douglas Gildenmeister (CRD#: 801713), a registered representative with Ameriprise Financial Services in Bellevue, Ohio, Inc., has been terminated from Raymond James & Associates for engaging in “unauthorized trading by taking discretion in non-discretionary accounts and taking trading instructions from an unauthorized individual” according to his BrokerCheck record accessed on December 19, 2019. On May 10, […]

A registered representative with J.W. Cole Financial, Inc. of Vermillion, Ohio, Jeff Vasiloff (CRD#: 3180004) has been suspended by the Financial Industry Regulatory Authority (FINRA) for exercising discretion in brokerage accounts, according to his BrokerCheck report accessed on September 17, 2019. On September 6, 2019, Jeff Vasiloff entered into an Acceptance, Waiver, and Consent (AWC) […]

On July 9, 2019, UBS Financial Services Inc. terminated Ricardo Turlan (CRD#: 4431836). UBS found that he “exercised discretion in two client accounts without written authorization” and that his “trading in other accounts reached levels that could be considered qualitatively unsuitable (ROAs between 3.0 and 9.0 for a twelve month period).” Ricardo Turlan is not […]

Eric Niedermeyer (CRD#: 1680870), a registered representative with Wells Fargo Advisors Financial Network in Portland, Oregon, is currently involved in a pending customer dispute, according to his BrokerCheck record accessed on August 13, 2019. In the dispute, filed on May 20, 2019, a client “alleges the Bank of America Class B warrants were misrepresented and […]

Brandon Stimpson (CRD#: 4299623), who is not currently affiliated with any broker-dealer, is involved in a pending customer dispute, according to his BrokerCheck record accessed on August 7, 2019. On June 19, 2019, Stimpson became involved in a pending dispute in which a client alleges, “unsuitability, overconcentration and unauthorized trading, deceptive practices, failure to supervise, […]

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