Securities Arbitration Investment Fraud Lawyers » Investment and Regulatory News » Variable Annuity Investor Accuses CUNA Brokerage Services Of Misconduct

stockbroker misconduct

Eric Stephen Pasquini of Fort Wayne, Indiana, a stockbroker registered with CUNA Brokerage Services Inc., is the subject of a customer initiated investment related complaint filed on August 18, 2021, in which the customer requested $19,156.70 in damages resulting from excessive assets in variable annuities when Pasquini was associated with CUNA Brokerage Services Inc.

This is not the first time that Pasquini has been referenced in a customer initiated investment related dispute concerning Pasquini’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Pasquini was also referenced in a complaint filed on March 24, 2003, in which the customer requested $6,097.00 in damages based upon allegations that Pasquini failed to deliver an investment contract in connection with the sale of municipal bond funds and fixed annuities during the time that Pasquini was associated with American Express Financial Advisors.

Pasquini was associated with CUNA Brokerage Services Inc. in Waverly, IA, as a stockbroker from September of 2009 to May of 2021; Lincoln Financial Advisors Corporation in Fort Wayne, IN, as a stockbroker from June of 2021 to July of 2021; and Lincoln Financial Advisors Corporation in Harrisburg, PA, as an investment advisor representative from June of 2021 to July of 2021.

Pasquini has been associated with Cetera Investment Advisers LLC in Lemoyne, PA, as an investment advisor representative since August 6, 2021, and has been associated with Cetera Investment Services LLC in Lemoyne, PA, as a stockbroker since August 6, 2021.