Brian David Rockowitz, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $106,882.07 in damages founded on accusations that between December of 2012 and November of 2020, unsuitable investment recommendations were made by Rockowitz at Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-01073 (April 26, 2021).
Rockowitz has been identified in four more customer initiated investment related disputes containing allegations of his wrongdoing when he was employed by Aegis Capital Corp and Janney Montgomery Scott LLC. FINRA Public Disclosure shows that on June 30, 2003, a customer filed an investment related complaint concerning Rockowitz’s activities in which the customer requested $223,609.72 in damages based upon accusations that unsuitable mutual funds and fixed annuities were held by the customer at Janney Montgomery Scott because of Rockowitz, resulting in losses to the customer.
Rockowitz is also referenced in a customer initiated investment related written complaint which contained accusations of Rockowitz’s over-the-counter equities trading failing to align with the customer’s goals of protecting assets and seeking growth. Another customer initiated investment related complaint regarding Rockowitz’s conduct was settled for $7,500.00 in damages supported by accusations of the failure to implement a stop loss in the customer’s account at Aegis Capital Corp, resulting in damages to the customer on over-the-counter equities.
Rockowitz is also the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $47,888.00 in damages founded on allegations of breach of contract and breach of fiduciary duty by Rockowitz regarding investment transactions through Aegis Capital Corp. According to the claim, Rockowitz executed unsuitable transactions.
Rockowitz was registered with Aegis Capital Corp as a stockbroker and investment adviser representative between February 29, 2012, and July 23, 2019. Rockowitz became registered with Madison Global Partners LLC as a stockbroker on July 12, 2019, and registered with Madison Global Advisors LLC as an investment adviser representative on March 11, 2020.
