Anthony Gerald Polak (also known as Tony Polak) a stockbroker currently registered with Aegis Capital Corp. is referenced in a customer initiated investment related arbitration claim where the customer requested $7,927.46 in damages founded on allegations that the customer’s investment portfolio had poorly performed between December 31, 2017 and February 8, 2018.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Polak is referenced in two more customer initiated investment related disputes pertaining to accusations of his wrongdoing during the time that he was employed by Maxim Group LLC. Specifically, on April 12, 2011, a customer filed an investment related complaint concerning Polak’s activities in which the customer sought $36,913.00 in damages supported by allegations that Polak made inappropriate stock and over-the-counter equities recommendations to the customer.
On July 28, 2014, another customer filed an investment related complaint involving Polak’s conduct where the customer requested $91,000.00 in damages based upon accusations that Polak placed the customer’s assets in illiquid and unsuitable over-the-counter equities.
FINRA Public Disclosure reveals that Polak was terminated from previous employer, Ladenburg, Thalmann & Co, founded on allegations that he committed violations of New York Stock Exchange (NYSE) Rules and the firm’s policy.
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