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Anthony Ghiglieri Allegedly Executed Unauthorized Bond Trades

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
December 16, 2022 at 11:55pm

Anthony Ghiglieri (CRD #: 5840252), a broker registered with Ameriprise Financial Services, allegedly executed unauthorized trades, according to his BrokerCheck record, accessed on December 15, 2022. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On November 11, 2022, an investor alleged that Anthony Ghiglieri placed “inappropriate” municipal bond trades without the client’s authorization in 2022. The client seeks $52,500 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take investors’ profiles into account when recommending investments. These profiles contain information such as investors’ risk tolerance, tax status, and investment goals.

Investors who rely on brokers for investment recommendations can pursue FINRA arbitration and potentially recover their losses.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which limits brokers to engaging in discretionary trading only in pre-approved accounts. Both the firm and the client must approve an account before discretionary trading can occur.

Background Information

Anthony Ghiglieri has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Anthony Ghiglieri is a registered broker in 18 states and a registered investment adviser in New Jersey, New York, and Texas.

He has also worked for the following firms:

  • HSBC Securities (USA) (CRD#:19585)
  • Cape Securities (CRD#:7072)
  • Synergy Investment Group (CRD#:46035)

Kurta Law Can Help

If you worked with Anthony Ghiglieri and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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