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Articles Tagged with unauthorized transactions

Alan Appelbaum (CRD#: 500336), a registered representative with Aegis Capital Corp. (CRD#: 15007) in Boca Raton, Florida, is currently involved in multiple pending customer disputes, mainly over unsuitable investment recommendations, according to his BrokerCheck record accessed on October 25, 2019. Throughout his 43-year career in the securities industry, Alan Appelbaum has a dozen disclosures, including […]

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 […]

Trevor Rahn (CRD#: 2196155), a 26-year veteran of the securities industry whose experience spans five firms, is involved in a pending customer dispute filed on June 12, 2019 in which a client alleges that “[the] financial advisor engaged in a pattern of unauthorized trading and margin use in customer’s account in order to generate commissions […]

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