Aileen Eppig Fired by Stifel, Nicolaus & Company, Incorporated – Goodman & Nekvasil P.A, May Recover Investor Losses
From 2009 until Aileen Eppig’s firing in 2015, Aileen Eppig was licensed with Stifel, Nicolaus & Company, Incorporated. Aileen Eppig was also licensed with International Assets Advisory, LLC. According to FINRA’s records, Aileen Eppig was fired by Stifel, Nicolaus & Company, Incorporated on October 30, 2015. Stifel, Nicolaus & Company, Incorporated reported to FINRA that Aileen Eppig accepted loans from a customer totaling $103,000 and that Aileen Eppig failed to disclose a 2013 judgment for $703,843.70.
Following Aileen Eppig’s discharge by Stifel, Nicolaus & Company, Incorporated, FINRA investigated Aileen Eppig and brought a disciplinary action against Aileen Eppig. Aileen Eppig was permanently barred from the securities and investment banking industry in April 2017. Aileen Eppig consented to the sanction and to the entry of the findings that Aileen Eppig refused to appear for on-the-record testimony requested by FINRA during the course of an investigation into disclosures reported on Aileen Eppig’s Form U5 that she, while employed at her member firm, accepted a loan from a customer of the firm totaling $103,000 without notifying the firm and failed to disclose a judgment of $703,843.70 on Aileen Eppig’s Form U4.
FINRA reports that an arbitration claim involving Aileen Eppig’s conduct with Stifel, Nicolaus & Company, Incorporated, was settled. This claim alleged unsuitable investments, excessive trading, exercising of unlawful discretion, and negligent misrepresentation. FINRA also reports that a previous complaint involving Aileen Eppig’s conduct was settled.
If you lost any money on investments with Aileen Eppig while Aileen Eppig was employed with Stifel, Nicolaus & Company, Incorporated and/or International Assets Advisory, LLC, you may be able to recover your losses from Stifel, Nicolaus & Company, Incorporated and/or International Assets Advisory, LLC. This is because Stifel, Nicolaus & Company, Incorporated and International Assets Advisory, LLC had a duty to supervise Aileen Eppig.
If you lost money on investments with Aileen Eppig and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Stifel, Nicolaus & Company, Incorporated and/or International Assets Advisory, LLC concerning Aileen Eppig’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Aileen Eppig and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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