{"id":20776,"date":"2021-11-12T09:34:20","date_gmt":"2021-11-12T15:34:20","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=20776"},"modified":"2021-11-12T09:34:20","modified_gmt":"2021-11-12T15:34:20","slug":"david-melilli-unauthorized-trading-claims","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/david-melilli-unauthorized-trading-claims\/","title":{"rendered":"FINRA Bars Fired Cambridge Investment Research Broker David Melilli Over Alleged Unauthorized Trading"},"content":{"rendered":"

Capstone Financial Investment Advisor Barred By FINRA\u00a0<\/span><\/h2>\n

David John Melilli, an ex-Cambridge Investment Research stockbroker, was barred by FINRA beginning November 8th, 2021. This came in the wake of allegations that he traded in multiple clients\u2019 accounts without written authorization. This included trading in the account of one deceased person.\u00a0<\/span><\/p>\n

Without denying or admitting to FINRA\u2019s findings, David Melilli consented to the sanctions and the entry of findings that he did not produce the information requested by the self-regulatory organization (SRO). The bar came after Melilli refused to cooperate.\u00a0<\/span><\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Capstone Financial Investment Advisor Barred By FINRA\u00a0 David John Melilli, an ex-Cambridge Investment Research stockbroker, was barred by FINRA beginning November 8th, 2021. This came in the wake of allegations that he traded in multiple clients\u2019 accounts without written authorization. This included trading in the account of one deceased person.\u00a0 Without denying or admitting to […]<\/p>\n","protected":false},"author":2,"featured_media":20778,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4644],"tags":[4645,4646,3009],"class_list":["post-20776","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-unauthorized-trading","tag-capstone-financial","tag-david-melilli","tag-unauthorized-trading"],"yoast_head":"\nDavid Melilli Barred By FINRA Over Unauthorized Trading Allegations<\/title>\n<meta name=\"description\" content=\"Capstone Financial broker David Melilli has been barred by FINRA after he allegedly committed unauthorized trading in client accounts.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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