Articles Tagged with International Assets Advisory

Stoltmann Law Offices is interested in speaking to those investors who may have invested with Aileen Eppig, a former broker with International Assets Advisory in Orlando, Florida. Ms. Eppig was accused of recommending unsuitable investments, executing excessive trades, exercising unlawful discretion and negligently misrepresenting material facts. These are all against securities laws. On a separate occasion, she “accepted loans from a customer totaling $103,000 and failed to disclose a 2013 judgment for $704,843.70,” which are also against securities laws. For these, she was barred from the industry.

According to her online BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), Ms. Eppig was registered Prudential Securities Inc. in New York, New York from April 1978 until January 1995, A.G. Edwards & Sons in Smithtown, New York from January 1995 until January 2008, Wells Fargo in Smithtown from January 2008 until May 2009, Stifel, Nicolaus & Company in Hauppauge, New York from May 2009 until October 2015 and International Assets Advisory in Orlando, Florida from March 2016 until May 2016. She has two customer disputes against her and has been permanently barred from the industry. Please call our securities law firm in Chicago at 312-332-4200 today for a no-cost, no-obligation consultation.

 

 

AdobeStock_49363801-1-300x200Recently, Norman Farra Jr., a former broker with International Assets Advisory in Tampa, Florida, was barred by the Financial Industry Regulatory Authority (FINRA). FINRA alleged that he participated in undisclosed outside business activities and private securities transactions. These are against securities rules and regulations. This is also sometimes referred to as “selling away,” and is when brokers sell promissory notes and other investments through side businesses, in order to generate more commissions for themselves by offering securities that are not held or offered by their member firm. Firms such as International Assets Advisory can be sued for this behavior, as the firm has a duty to reasonably supervise its brokers. If it does not, it can be held liable for investment losses.
Farra was registered with International Assets Advisory in Tampa, Florida from April 2015 until November 2016 and has one customer dispute against him. He was barred from the industry by FINRA. If you have losses with Farra, please call our securities law firm today at 312-332-4200 to find out how to sue International Assets Advisory in the FINRA arbitration forum on a contingency fee basis. The call is free with no obligation.

AdobeStock_77502568-1-300x199Recently, Norman Farra was barred from the industry by the Financial Industry Regulatory Authority (FINRA). FINRA alleged that Mr. Farra engaged in outside business activities and private securities transactions without authorization from his firm, International Assets Advisory. This is against securities rules. We are Chicago-based securities attorneys who bring legal claims against firms such as International Assets Advisory on a contingency fee basis in the FINRA arbitration forum. Please call 312-332-4200 to find out how to do so. The call is free with no obligation.

Farra was registered with Chatfield Dean & Co., Lew Lieberbaum & Co., Wheat, First Securities, Wharton Capital Markets, Gunnallen Financial, Cresta Capital Strategies, R.F. Lafferty & Co., Aegis Capital, Merriman Capital and International Assets Advisory in Tampa, Florida from April 2015 until November 2016. He has one customer dispute against him and has been permanently barred from the industry.

AdobeStock_762441-1-300x225Stoltmann Law Offices is investigating Curtis Randle El, a former registered representative with Cambridge Investment Research. Randle El recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). According to his AWC, Randle El was accused of recommending and effecting short-term trades involving Class A mutual fund shares and Unit Investment Trusts (UITs) for the accounts of three elderly customers with conservative investment objectives without having a reasonable basis for believing that such transactions were suitable. Because of this, the customer suffered losses of $33,185. Randle El was fined $5,000 and suspended for three months because of his misconduct.

Randle El was registered with Hefren-Tillotson in Wexford, Pennsylvania from June 2005 until December 2008, PNC Investments in Pittsburgh, Pennsylvania from March 2009 until June 2011, Cambridge Investment Research in Pittsburgh from November 2011 until November 2014, Cetera Advisors in Pittsburgh from November 2014 until December 2014 and Coastal Equities in Pittsburgh from December 2014 until December 2015. He is currently registered with International Assets Advisory in Pittsburgh and has been since December 2015. He has one customer dispute against him.

You may be able to bring a claim against International Assets Advisory in the FINRA arbitration process if you suffered losses with Curtis Randle El. We are Chicago-based securities attorneys who take cases on a contingency fee basis in order to help investors recover their losses. Please call 312-332-4200 today to speak to an attorney for free. There is no obligation.

CNBC
FOX Business
The Wall Street Journal
Bloomberg
CBS
FOX News Channel
USA Today
abc NEWS
DATELINE
npr
Contact Information