Aileen Eppig, formerly of Stifel Nicolaus & Co., Barred from Securities Industry
Have you lost money with financial advisor Aileen Eppig of Uniondale, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aileen Eppig. FINRA barred Eppig from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Eppig for allegations that she borrowed $103,000 from a customer without disclosing such to her brokerage firm, Stifel Nicolaus & Co. She also failed to disclose a $704,000 judgment against her from 2013.
Aileen Eppig was a financial advisor and registered representative of Stifel Nicolaus & Co. from May 2009 to October 2015. She worked at branch offices in Uniondale and Smithtown, New York. Eppig has been the subject of at least two customer disputes.
Brokerage firms like Stifel Nicolaus & Co. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Stifel Nicolaus & Co.
Click to view: Eppig, Aileen FINRA AWC
Click to view: Eppig, Aileen BrokerCheck 4.14.17
If you lost money with Aileen Eppig or Stifel Nicolaus & Co., please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.