DONALD CHRISTOPHER MEGLIOLA is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 12007 SUNRISE VALLEY DR., STE 310, STE 310, RESTON, VA, 20191.
DONALD CHRISTOPHER MEGLIOLA has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since March 03, 2014
DONALD CHRISTOPHER MEGLIOLA has 3 Disclosure Event(s).
Date: April 11, 2017 Category: Customer Dispute Allegations: Client alleges RR failed to supervise while acting as a branch manager for the Representative of Record on client's account. Damage Amount Requested: $189,000.00 Settlement Amount: $7,500.00 Broker Comment: RR settled to avoid the costs and vagaries of arbitration and was dismissed with prejudice.
Date: March 02, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HER SIGNATURE WAS SIGNED BY REPRESENTATIVE/JOINT ACCOUNT HOLDER ON NUMEROUS ACCOUNT DOCUMENTS. Broker Comment: IN THE MIDST OF RR'S DIVORCE PROCEEDINGS, HIS ESTRANGED WIFE HAS ALLEGED THAT AN UNIDENTIFIED PERSON SIGNED HER NAME ON UNSPECIFIED DOCUMENTS. RR ASSERTS THE DOCUMENTS IN QUESTION CAN ONLY BE THOSE REQUIRED TO OPEN JOINT ACCOUNT FOR THEIR MARITAL ASSETS. THE COMPLAINANT DOES NOT ALLEGE ANY LOSSES OR DAMAGES. RR DENIES ENGAGING IN ANY UNAUTHORIZED ACTIVITY.The customer withdrew the complaint.
Date: April 30, 2013 Category: Customer Dispute Allegations: MR. DON C. MEGLIOLA, PRESIDENT & CEO, IS LISTED AS A RESPONDENT TO THE ARBITRATION AS A CONTROL PERSON OF FULCRUM SECURITIES, LLC. [CUSTOMER] WAS NOT A CUSTOMER OF MR. MEGLIOLA. CUSTOMER FILED ARBITRATION ARISING OUT OF THE LIQUIDATION OF A POSITION THAT TRANSFERRED INTO THE FIRM. IN CONNECTION WITH THAT LIQUIDATION THE CUSTOMER ASSERTS THE FOLLOWING CLAIMS: BREACH OF FIDUCIARY DUTY, VIOLATION OF FINRA RULE 2110, BREACH OF CONTRACT, NEGLIGENCE, VIOLATION OF FL SECURITIES ACT AND CONTROL PERSON LIABILITY. CUSTOMER SEEKS ALLEGED DAMAGES IN THE AMOUNT OF $569,300. THE FIRM AND ASSOCIATED PERSONS DENY LIABILITY AND WILL VIGOROUSLY DEFEND THESE CLAIMS. Damage Amount Requested: $569,300.00 Settlement Amount: $35,000.00 13-01133
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