James J. Mariani of Mineola, New York, a stockbroker registered with Aegis Capital Corp., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensation based upon allegations that Mariani breached a contract, engaged in unsuitable trading, breached his fiduciary duties, and was negligent in connection with the sale of real estate securities when Mariani was associated with Aegis Capital Corp. FINRA Arbitration No. 23-03481 (December 8, 2023).
FINRA Public Disclosure shows that Mariani is referenced in fourteen (14) other customer initiated investment related disputes concerning Mariani’s conduct while associated with securities broker dealers. On November 12, 2021, a customer filed an investment related FINRA securities arbitration claim involving Mariani’s conduct in which the customer requested $291,100.00 in damages based upon allegations that Mariani made unsuitable investment recommendations in real estate securities during the time that Mariani was associated with National Securities Corporation. FINRA Arbitration No. 21-02433.
On September 2, 2022, a customer initiated investment related FINRA securities arbitration claim involving Mariani’s conduct was settled for $200,000.00 in damages based upon an alleged unsuitable investment strategy involving real estate securities and private placements when Mariani was associated with National Securities Corporation. FINRA Arbitration No. 21-02241.
Mariani was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $50,000.00 in damages based upon allegations that Mariani engaged in unsuitable, unauthorized, and excessive trading in stocks during the time that Mariani was associated with Aegis Capital Corp. FINRA Arbitration No. 22-00471 (September 20, 2022). The claim also alleged breach of fiduciary duty, misrepresentations and omissions of material facts, and negligence by the stockbroker.
On June 27, 2023, a different customer filed an investment related FINRA securities arbitration claim involving Mariani’s conduct in which the customer requested $500,000.00 in damages based upon allegations that Mariani made omission of material facts and unsuitable recommendations in real estate securities and alternative investments when Mariani was associated with Aegis Capital Corp. FINRA Arbitration No. 23-01839.
On October 10, 2023, another customer filed an investment related FINRA securities arbitration claim involving Mariani’s conduct in which the customer requested $1,500,000.00 in damages based upon alleged unsuitable trading, misrepresentations and omissions of material fact, overconcentration, negligence, breach of fiduciary duty, and breach of contract in connection with the recommendation and sale of real estate securities and alternative investments during the time that Mariani was associated with Aegis Capital Corp. FINRA Arbitration No. 23-02792.
Mariani was registered with Aegis Capital Corp. in Mineola, New York, from September 6, 2017, to September 10, 2021.
