May 2019 – New York
According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In one of the prior matters, FINRA Case 13-0041, a customer of Viglione’s prior employer John Thomas Financial was paid $125,000 to resolve allegations that Viglione excessively traded the account and made unauthorized trades.
In pending FINRA Case 18-1658 a customer of Laidlaw & Company alleges that Viglione traded his account excessively and made trades without authority from 2015-2018. The customer is seeking damages of $200,000.
Viglione has been with Laidlaw & Company since 10/2014. Prior to that he was registered with Portfolio Advisors Alliance from 8/2013-10/2014.
If you have questions about an investment account handled by Peter D. Viglione contact us for a no charge consultation to learn about your legal options for recovery of damages.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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