Kevin Thomas Doyle of Bayside New York a stockbroker currently employed by Aegis Capital Corp. is the subject of a customer initiated investment related written complaint on September 3, 2019 where the customer requested $17,231.00 in damages founded on accusations that investment recommendations made between February 15, 2018 and August 23, 2019 were inappropriate given the customer’s objectives for investing.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Doyle is referenced in three additional customer initiated investment related disputes containing allegations of his violative conduct while employed with Investec, Ernst Company, Cambridge Capital LLC and GKN Securities Corp. Specifically, a customer filed an investment related arbitration claim regarding Doyle’s activities in which the customer sought $53,336.64 in damages based upon accusations that over-the-counter equities trades executed in the customer’s account were not appropriate for the customer.
Also, a customer initiated investment related civil action brought in the New York Supreme Court involving Doyle’s conduct was settled for $8,500.00 in damages supported by allegations that unauthorized transactions were effected by the stockbroker; the customer’s account had been handled with poor care; the customer was deprived of information about terms or conditions of investing; warrant transactions failed to be suitable; and the customer was defrauded.
Doyle has been registered with Aegis Capital Corp. since September 1, 2017. The stockbroker has been associated with at least two different broker dealers who have been expelled by securities regulators for violation of federal securities laws or who are otherwise defunct.
