Dennis Daniel Herrera of Miami Florida a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $139,399.00 in damages supported by accusations that Herrera breached a fiduciary duty and breached a contract during the period that he was employed by Aegis Capital Corp. FINRA Arbitration No. 20-00036 (March 9, 2020). The claim alleges that the customer was placed into unsuitable investments at Aegis Capital Corp.

Herrera has been identified in four additional customer initiated investment related disputes involving allegations of his wrongdoing while registered with Hunter Scott Financial, Blackbook Capital LLC, and John Thomas Financial. FINRA Public Disclosure shows that a customer initiated investment related complaint concerning Herrera’s activities was resolved for $40,000.00 in damages based on accusations that the customer had been overcharged commissions relating to over-the-counter equities transactions during the time that Herrera was registered with Hunter Scott Financial LLC.

A different customer initiated investment related complaint regarding Herrera’s conduct was settled for $8,628.55 in damages founded upon allegations of unauthorized transactions by Herrera at Hunter Scott Financial. Herrera is also the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $25,000.00 in damages supported by accusations that a private placement was misrepresented by Herrera and that the customer’s account experienced excessive trading. According to the claim, Herrera made unsuitable stock and exchange traded fund trades when he was associated with John Thomas Financial.

Another customer initiated investment related FINRA securities arbitration claim regarding Herrera’s activities was settled for $14,500.00 in damages based on allegations of Herrera’s unsuitable trading of common and preferred stock when he was employed by Charles Vista LLC and Blackbook Capital LLC.

Herrera has been registered with Aegis Capital Corp since March 8, 2016.

Tags: , ,

Comments are closed.