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.