Carmel, Milazzo & DiChiara LLP (CMD) is investigating potential claims against securities broker Steven Douglas Ridgley (CRD #4263203, Louisville, Kentucky) and International Assets Advisory, LLC for unauthorized trading and failure to supervise.
In May, Steven Douglas Ridgley submitted an Acceptance, Waiver & Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or denying the findings, Mr. Ridgley consented to the sanctions and to the entry of findings that he exercised discretion in effecting hundreds of securities transactions in customer accounts, without obtaining his customers’ prior written authorization or his member firm’s prior written approval to exercise discretion in these accounts.
If you or someone you know lost money investing with Steven Douglas Ridgley and/or International Assets Advisory, LLC, you may be entitled to recover your investment losses through FINRA arbitration. CMD accepts cases on a contingency fee basis, which means we only get paid if you get paid. Your time to file a claim may be limited, so contact us today at (212) 658-0458 or firstname.lastname@example.org for a free and confidential case evaluation.