Goodman & Nekvasil P.A, May Recover Investor Losses | Financial Advisor Anthony Scaglione Resigned from UBS Financial Services, Inc.
Anthony Scaglione CRD #5642574
From 2010 until Anthony Scaglione’s resignation in 2015, Anthony Scaglione was licensed with UBS Financial Services, Inc. Anthony Scaglione is now licensed with Stifel, Nicolaus & Company, Incorporated. According to FINRA’s records, Anthony Scaglione resigned from UBS Financial Services, Inc. on April 22, 2015. UBS Financial Services, Inc. reported to FINRA that Anthony Scaglione’s resignation was related to a firm review which concluded that Anthony Scaglione violated firm policy by (1) failing to disclose volunteer, board memberships in two not-for-profit entities; (2) sending a few clients and prospective clients a self-written research-report concerning the economy of a Central American country without management’s approval, as required by firm policy; and (3) meeting with a government official without management’s knowledge or approval.
If you lost any money on investments with Anthony Scaglione while Anthony Scaglione was employed with UBS Financial Services, Inc. and/or Stifel, Nicolaus & Company, Incorporated, you may be able to recover your losses from UBS Financial Services, Inc. and/or Stifel, Nicolaus & Company, Incorporated. This is because UBS Financial Services, Inc. and Stifel, Nicolaus & Company, Incorporated had a duty to supervise Anthony Scaglione.
If you lost money on investments with Anthony Scaglione and believe that 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 UBS Financial Services, Inc. and/or Stifel, Nicolaus & Company, Incorporated concerning Anthony Scaglione’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 $170 million on behalf of victimized investors. If you lost money on investments with Anthony Scaglione 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.
Keywords: Anthony Scaglione, Scaglione, UBS Financial, UBS, Stifel, Nicolaus & Company, FINRA, SEC, Broker, Brokerage, Investment, Investor, Invest, Securities, Securities Attorney, Goodman and Nekvasil, Goodman, Nekvasil, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange