Louis Anthony Pepe, of Melville, New York, a stockbroker currently registered with Capital Securities Management, Inc., has been named in a customer initiated investment related written complaint on February 7, 2017, based upon allegations that Pepe failed to adjust the customer’s investment strategy in light of the customer’s constant stock losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that a customer was awarded $3,360.00 in damages according to an investment related arbitration claim involving Pepe’s misconduct, based upon allegations that Pepe made investment based misrepresentations and omissions to the customer, and placed unauthorized trades in the customer’s account.
Since February 24, 1993, Pepe has been associated with five different broker dealers, four of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
Guiliano Law Group
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