Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...Read More
Peter Viglione: Former Laidlaw Broker Receives Complaints
Investor complaints against former Laidlaw & Company broker Peter Viglione (CRD# 4697621) allege conduct including suitability violations, misrepresentation, unauthorized trading, and more by the New York, New York-based representative. One such complaint alleges damages of $200,000. He is currently registered with Network 1 Financial, where he has been employed since June 2019, according to information drawn from Financial Industry Regulatory Authority records.
A 2019 complaint alleged that while a representative of Portfolios Advisors Alliance, Peter Viglione made false representations regarding investments, violated his fiduciary duty to act in his customers’ best interests, engaged in fraud, and was negligent in the performance of his duties. The complaint reached a settlement of $14,999.
Peter Viglione allegedly engaged in excessive trading and unauthorized trading, according to a pending 2018 complaint concerning his conduct as a representative of Laidlaw & Company. The complaint alleges damages of $200,000.
A 2018 complaint concerning his conduct as a representative of Laidlaw & Company does not list specific activities, but reached a settlement of $9,375.
A 2013 complaint concerning his conduct as a representative of John Thomas Financial alleged that Peter Viglione engaged in unauthorized trading, presented false representations concerning an investment, and excessively traded securities. The complaint reached a settlement of $125,000.
Mr. Viglione allegedly engaged in account churning and unauthorized trading, according to a 2011 complaint regarding his conduct as a representative of John Thomas Financial. The complaint reached a settlement of $85,000.
Peter Viglione is currently registered with Network 1 Financial Securities’ New York, New York location. His employment history includes Laidlaw & Company, Portfolio Advisors Alliance, John Thomas Financial, National Securities Corporation, SW Bach & Company, Oppenheimer & Company, and Casimir Capital. He holds 22 state licenses and has passed three securities industry qualification examinations. (Information current as of August 9, 2019.)