JEFFREY JOHN AGOGLIA is currently employed as a Broker and/or Investment Adviser at TULLETT PREBON FINANCIAL SERVICES LLC located at 199 WATER STREET, 17TH FLOOR, NEW YORK, NY, 10038.
JEFFREY JOHN AGOGLIA has worked at TULLETT PREBON FINANCIAL SERVICES LLC since June 01, 2012
Disclosure History
JEFFREY JOHN AGOGLIA has 1 Disclosure Event(s).
Date: November 12, 1987 Category: Employment Separation After Allegations Firm Name: SHEARSON LEHMAN BROTHERS INC. Termination Type: Discharged Allegations: AGOGLIA SOLD ZEROCOUPON BONDS FROM THE FIRM ACCOUNT AT UNFAIR PRICE LEVELS. Broker Comment: TERMINATIONFOR CAUSE #88-35, THENASD SENT A LETTER TO AGOGLIA ON MARCH 17, 1988, REQUESTINGANSWERS TO SEVERAL QUESTIONS. MR. AGOGLIA SUBMITTED A RESPONSETO THE NASD ON APRIL 5, 1988. DUE TO THE NATURE OF THETERMINATION THE NASD IS CONDUCTING AN INVESTIGATION. THEYQUESTIONED AND HE ANSWERED AS FOLLOWS: (1) DID YOU HAVEDISCRETION OVER MS. HURLEY'S ACCOUNT? NO, (2) WHY WAS A CHECKWRITTEN TO YOU FROM MS. HURLEY'S ACOCUNT? MS. HURLEY LOANEDAGOGLIA $1500, (3) WHAT WAS AGOGLIA'S NORMAL MARK-UP POLICY ONZERO COUPON BONDS? THE NORMAL MARK-UP ON NON-EMPLOYEE ACCOUNTSWAS BETWEEN 1% AND 5%. THERE WAS NO POLICY REGARDING MARK-UP ONEMPLOYEE ACCOUNTS. IN PRACTICE, THERE WAS NO MARK-UP ON EMPLOYEEACCOUNTS. (4) WHY WERE THE MARK-UPS ON TRADES DONE IN MS.HURLEY'S ACCOUNT LESS THAN COMPARABLE TRADES IN OTHER ACCOUNTS?MS. HURLEY WAS TREATED NO DIFFERENTLY THAN "AN OTHER" EMPLOYEE.(5) ANY OTHER COMMENTS AGOGLIA FELT WERE PERTINENT TO THE NASD'SREVIEW OF THE MATTER. AGOGLIA FELT HE WAS WRONGFULLY DISCHARGEDWITHOUT ANY CAUSE OR JUSTIFICATION. HE SAYS HE DID NOT SELL ZEROBONDS FROM THE FIRM ACCOUNT AT UNFAIR PRICE LEVELS.
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