ANTHONY SCAGLIONE is currently employed as a Broker and/or Investment Adviser at STIFEL, NICOLAUS & COMPANY, INCORPORATED located at 100 NORTH TAMPA STREET, SUITE 1750, TAMPA, FL, 33602.
ANTHONY SCAGLIONE has worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED since May 22, 2015
Disclosure History
ANTHONY SCAGLIONE has 1 Disclosure Event(s).
Date: April 22, 2015 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES INC. Termination Type: Permitted to Resign Allegations: MR. SCAGLIONE WAS PERMITTED TO RESIGN AFTER A FIRM REVIEW CONCLUDED THAT HE VIOLATED FIRM POLICY BY (1) FAILING TO DISCLOSE VOLUNTEER, BOARD MEMBERSHIPS IN TWO NOT-FOR-PROFIT ENTITIES; (2) SENDING A FEW CLIENTS AND PROSPECTIVE CLIENTS A SELF-WRITTEN RESEARCH-REPORT CONCERNING THE ECONOMY OF A CENTRAL AMERICAN COUNTRY WITHOUT MANAGEMENT'S APPROVAL, AS REQUIRED BY FIRM POLICY; AND (3) MEETING WITH A GOVERNMENT OFFICIAL WITHOUT MANAGEMENT'S KNOWLEDGE OR APPROVAL. Broker Comment: FULL RESPONSIVE SUMMARY HAS BEEN SUBMITTED TO FINRA REGISTRATION AND DISCLOSURE IN GAITHERSBURG MARYLAND ON MAY 13, 2015 VIA OVERNIGHT US MAIL
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