Dominick Joseph Diorio Jr. of Melville New York a stockbroker currently employed by Aegis Capital Corp. is referenced in a customer initiated investment related arbitration claim in which the customer sought $769,690.00 in damages founded on accusations that inappropriate investment recommendations had been made to the customer and unauthorized trades were effected in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00408 (Feb. 12, 2018).

FINRA Public Disclosure reveals that Diorio has been identified in two additional customer initiated investment related disputes containing allegations of Diorio’s misconduct while employed with Aegis Capital Corp and Tasin & Company. Particularly, on September 24, 1998, a customer filed an investment related complaint regarding Diorio’s conduct where the customer requested $40,000.00 in damages supported by accusations that margin was utilized without the customer’s consent to execute over-the-counter equities transactions.

Thereafter, a customer filed an investment related arbitration claim regarding Diorio’s activities in which the customer requested damages estimated to exceed $5,000.00 based upon allegations that between December of 2012 and July of 2017, Diorio pursued an unsuitable investment strategy involving the use of alternative investments, real estate securities and stocks. FINRA Arbitration No. 17-02321 (Aug. 29, 2017).

Since October 5, 1995, Diorio has been associated with ten different broker dealers, five of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct.

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