Brian David Rockowitz of Hauppauge, New York, a stockbroker formerly registered with Aegis Capital Corp., was the subject of a customer initiated investment related FINRA arbitration claim which settled for $19,353.87 in damages based upon allegations that Rockowitz breached a fiduciary duty, breached a contract, and made unsuitable transactions in connection with the recommendation and sale of stocks when Rockowitz was associated with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-00036 (Feb. 4, 2022).
Public Disclosure shows that Rockowitz is referenced in five total customer initiated investment related disputes concerning Rockowitz’s conduct while associated with securities broker dealers, including Aegis Capital Corp. On February 7, 2013, a customer initiated investment related complaint involving Rockowitz’s activities was settled for $7,500.00 in damages based upon allegations that Rockowitz failed to execute a stop loss at Aegis Capital Corp.
Rockowitz is also the subject of an arbitration claim in which the customer requested $106,882.07 in damages based upon allegations that Rockowitz made unsuitable recommendations with regard to the sale of investments when Rockowitz was associated with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-01073 (April 26, 2021).
