LOUIS MICHAEL PUGLIESE is currently employed as a Broker and/or Investment Adviser at AMERITAS INVESTMENT CORP. located at 1460 ROUTE 9 N STE 210, WOODBRIDGE, NJ, 07095.
LOUIS MICHAEL PUGLIESE has worked at AMERITAS INVESTMENT CORP. since January 28, 2004
Date: May 08, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES AN UNAUTHORIZED TRADE. MR PUGLIESE VIGOROUSLY DENIES ALL ALLEGATIONS. CLIENT HAD BEEN IN PHONE CONTACT AND PERSONAL CONTACT WITH MR. PUGLIESE. NUMEROUS LETTERS AND ACCOUNT REVIEWS SENT TO THE CLIENT BEFORE AND AFTER DECEMBER. ACCOUNT PAPERS LIST OBJECTIVES AS AGGRESSIVE/SPECULATIVE. SIGNED MARGIN PAPERS ON FILE. CLIENT DID NOT SEND COMPLAINT ON DECEMBER TRADE FOR FIVE MONTHS. THE ALLEGED COMPENSATORY DAMAGES IS NOT SPECIFIED.
Date: September 30, 1991 Category: Regulatory Initiated By: NEW JERSEY BUREAU OF SECURITIES Allegations: CARNEGIE INVESTOR SERVICES, OF WHICH I WAS APRINCIPAL SECURITIES REPRESENTATIVE, WAS NOT REGISTERED IN THESTATE OF NEW JERSEY. I WAS NAMED IN A CEASE AND DESIST ORDER,ISSUED IN AUG. 1989 FOR CONDUCTING BUSINESS FROM NEW JERSEY. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: CARNEGIE CEASED CONDUCTING ACTIVITIES FROM NJ. Broker Comment: I WOULD LIKE TO NOTE THAT I PERSONALLY DID NOTCONDUCT AND BUSINESS IN OR FROM THE STATE OF NJ WHILE EMPLOYEDBY CARNEGIE BUT WAS NAMED WITH ALL CARNEGIE EMPLOYEES IN THE C& D ORDER ISSUED.
Date: September 30, 1991 Category: Regulatory Initiated By: STATE OF NEW JERSEY BUREAU OF SECURITIES 3 Allegations: PUGLIESE EMPLOYED UNREGISTERED AGENTS, FAILEDTO SUPERVISE AGENTS AND LACKS REQUISITE CHARACTER TO BEREGISTERED. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: Not Provided Broker Comment: NOT PROVIDED
Date: December 01, 1989 Category: Regulatory Initiated By: MICHIGAN Allegations: FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: LOUIS MICHAEL PUGLIESE'SREGISTRATION WAS REVOKED DUE TO THE FAILURE TO PAY THE BALANCEOF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. [DOCKET/CASENUMBER NOT PROVIDED] Broker Comment: INVESTORS CENTER INC. DEDUCTED REGISTRATION FEESFROM MY PAYCHECK. SUBSEQUENTLY, INVESTORS CENTER WENT OUT OFBUSINESS AND FAILED TO FORWARD FULL REGISTRATION RENEWAL FEESON MY BEHALF. I HAVE NOT CONDUCTED ANY BUSINESS IN THE STATEOF MICHIGAN.
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