Tag Archives: Aegis Capital Corp

Aegis Stockbroker Sanctioned For Excessive Trading

February 16, 2021  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Aegis Stockbroker Sanctioned For Excessive Trading

Anthony Tricarico of New York New York a stockbroker formerly registered with Aegis Capital Corp has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he made unsuitable trades in customer accounts. Letter of Acceptance Waiver and Consent No. […]

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Aegis Capital Corp Sued For Unsuitable Trading

February 16, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Aegis Capital Corp Sued For Unsuitable Trading

Robert Wade LaPietra of New York New York a former stockbroker and investment adviser representative of Aegis Capital Corp is the subject of a customer initiated investment related FINRA securities arbitration claim which was settled for $80,000.00 in damages founded on accusations that an unsuitable investment strategy had been used by the stockbroker during the […]

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FINRA Bars Aegis Stockbroker For Churning

February 01, 2021  |   Posted by :   |   Boilerroom Sales, Churning, Investment and Regulatory News, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on FINRA Bars Aegis Stockbroker For Churning

Steven Robert Luftschein (also known as Steven Lerner) a stockbroker formerly registered with Aegis Capital Corp has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member according to an Order Accepting Offer of Settlement issued by FINRA Office of Hearing Officers who found that Luftschein had churned customers’ accounts and had made […]

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Investors File Arbitration Claim Against Aegis For Fraud

January 19, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Stockbroker Negligence   |   Comments Off on Investors File Arbitration Claim Against Aegis For Fraud

Todd Michael Ellentuck of Morristown New Jersey a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related written complaint on July 6, 2020  in which the customer requested $420,000.00 in damages founded on accusations that a contract between the customer and the securities broker dealer had been breached and […]

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Investors File FINRA Securities Arbitration Claim Aegis For Excessive Trading

December 07, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Investors File FINRA Securities Arbitration Claim Aegis For Excessive Trading

Cory David Bataan of Melville New York a stockbroker formerly registered with Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim where the customer requested $200,000.00 in damages based upon accusations that trades were effected in the customer’s account on an excessive and unsuitable basis by Bataan during the time […]

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Investors Bring FINRA Arbitration Claim Against Aegis Capital For Breach Of Fiduciary Duty

November 04, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Aegis Capital For Breach Of Fiduciary Duty

Yann C. Faho (also known as Jann C. Faho and as John Faho) of New York New York a stockbroker currently registered with Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim where the customer requested $462,259.99 in damages founded on allegations that the customer had purchased unsuitable investments through […]

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More Investors Bring FINRA Arbitration Claims Against Aegis Capital For Unauthorized Trading

November 04, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Unauthorized Trading   |   Comments Off on More Investors Bring FINRA Arbitration Claims Against Aegis Capital For Unauthorized Trading

Michael Christopher Venturino of Melville New York a stockbroker formerly registered with Aegis Capital Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought between $100,000.00 and $500,000.00 in damages supported by accusations that a contract between the customer and the securities broker dealer had been breached and that […]

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Spartan Capital Stockbroker Sanctioned In Outside Business Scam

November 04, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Selling Away and Outside Activities, Stockbroker Theft   |   Comments Off on Spartan Capital Stockbroker Sanctioned In Outside Business Scam

Pratul Victor Agnihotri (also known as Pratol Victor Agnihotri) of Melville New York a stockbroker formerly registered with Aegis Capital Corp. and Spartan Capital Securities LLC has been fined $7,500.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Agnihotri engaged in […]

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Investors Bring Arbitration Claims Againt Aegis Capital For Unauthorized Trading

October 08, 2020  |   Posted by :   |   Boilerroom Sales, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Investors Bring Arbitration Claims Againt Aegis Capital For Unauthorized Trading

Shapour Reza Ejlal of Great Neck New York a stockbroker formerly registered with Aegis Capital Corp. is identified in a customer initiated investment related written complaint which was settled for $17,500.00 in damages on March 1, 2019 based upon accusations that unauthorized transactions were effected in the customer’s account and that the customer was placed […]

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Aegis Sued By Investors For Defective Investment Advice

July 20, 2020  |   Posted by :   |   Alternative Investments, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Aegis Sued By Investors For Defective Investment Advice

Kevin Thomas Doyle of Mineola New York a stockbroker formerly associated with Aegis Capital Corp and Newbridge Securities Corp has been referenced in a customer initiated investment related arbitration claim in which the customer requested $125,000.00 in damages supported by allegations that alternative investment recommendations made by Doyle had failed to be suitable as they […]

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Aegis Capital Corp Sued By Investors For Fraud

July 11, 2020  |   Posted by :   |   Securities Arbitration Claims, Securities Fraud, Stockbroker Negligence   |   Comments Off on Aegis Capital Corp Sued By Investors For Fraud

Thomas Duggan of Melville New York a stockbroker currently employed by Aegis Capital Corp has been identified in a customer initiated investment related arbitration claim where the customer sought $1,079,155.08 in damages founded on accusations of elder abuse relating to the customer’s investments between 2017 and 2019 while Duggan was employed by Aegis Capital Corp. […]

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Investors Sue Joseph Gunnar For Breach Of Fiduciary Duty

June 08, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue Joseph Gunnar For Breach Of Fiduciary Duty

James Bradley Schwartz (also known as Jim Schwartz) of New York New York a stockbroker formerly associated with Joseph Gunnar Co. LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $48,732.00 in damages supported by allegations that (1) a fiduciary duty owed to the Aegis Capital Corp […]

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Aegis Capital Sued For Breach Of Fiduciary Duty

June 08, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Churning   |   Comments Off on Aegis Capital Sued For Breach Of Fiduciary Duty

Elliot Hough Sherer of Melville New York a stockbroker currently employed by Aegis Capital Corp. has been identified in a customer initiated investment related arbitration claim where the customer sought $95,596.00 in damages founded on accusations of (1) breach of a fiduciary owed to the customer by Sherer (2) breach of a contract between the […]

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Aegis Stockbroker Charged By FINRA With Fraud

June 03, 2020  |   Posted by :   |   Churning, Excessive Trading, Securities Fraud   |   Comments Off on Aegis Stockbroker Charged By FINRA With Fraud

Steven Robert Luftschein (also known as Steven Lerner) a stockbroker formerly employed by Aegis Capital Corp has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that (1) Luftschein churned the accounts of Aegis Capital Corp customers and that (2) Luftschein defrauded investors. Department of Enforcement v. Steven R. […]

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Aegis Capital Sued For Breach Of Fiduciary Duty

June 03, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Aegis Capital Sued For Breach Of Fiduciary Duty

Nick Eugene Son of New York New York a stockbroker formerly associated with Aegis Capital Corp. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $642,224.00 in damages supported by allegations that fiduciary and contractual duties that were owed to the Aegis Capital Corp. customer had been breached […]

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Investors Accuse Aegis Capital Corp Of Margin Fraud

April 18, 2020  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News, Margin Account Fraud, Securities Fraud, Unauthorized Trading   |   Comments Off on Investors Accuse Aegis Capital Corp Of Margin Fraud

Gregory Spencer O’Brien of New York New York a stockbroker formerly employed by Aegis Capital Corp has been identified in a customer initiated investment related complaint on April 12, 2019 where the customer sought $153,300.00 in damages founded on accusations that margin was inappropriately utilized to effect securities transactions for the customer’s Aegis Capital Corp […]

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FINRA Investigates SW Financial Stockbroker For Theft

April 08, 2020  |   Posted by :   |   Failure To Supervise, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on FINRA Investigates SW Financial Stockbroker For Theft

Pratol Victor Agnihotri of Melville New York a stockbroker associated with SW Financial has been referenced in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on October 18, 2019 in which he may face disciplinary action for possibly converting funds belonging to investors and for engaging in undisclosed outside business activities. FINRA Investigation No. […]

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Aegis Stockbroker Sanctioned For Unsupervised Communications

Paul Anthony Falcon of Boca Raton Florida a stockbroker currently registered with Aegis Capital Corp. has been fined $5,000.00 and suspended for thirty days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that the stockbroker used secretive and unapproved communication channels to correspond with customers of Aegis […]

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Investors Sue Aegis Capital For Misrepresentation

Steven Robert Luftschein (also known as Steven Lerner) of Melville New York a stockbroker associated with Aegis Capital Corp has been referenced in a customer initiated investment related arbitration claim in which the customer requested $200,000.00 in damages based upon allegations that misleading and false statements had been made to the customer and that trades […]

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Aegis Stockbroker Barred For Failure To Pay Arbitration Award

Andrew Owen Brown of Melville New York a stockbroker formerly registered with Aegis Capital Corp and Worden Capital Management LLC has been suspended by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon accusations that Brown did not pay an Arbitration Award in which he was found liable […]

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Aegis Capital Sued By Investors Over Rogue Stockbroker

Michael Christopher Venturino of Melville New York a stockbroker associated with Aegis Capital Corp. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $225,000.00 in damages based upon allegations that high pressure sales tactics had been used on the customer by Venturino which resulted in the customer being […]

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Investors Accuse Aegis Bad Investment Advice

Joseph W. Rozof of New York New York a stockbroker currently registered with Aegis Capital Corp. is the subject of a customer initiated investment related complaint which was resolved for $14,500.00 in damages on October 8, 2019 founded on allegations that between February of 2019 and August of 2019, the customer received bad investment advice […]

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Aegis Sued By Investors For Breach Of Fiduciary Duty

Thomas Duggan of Melville New York a stockbroker currently employed by Aegis Capital Corp. is the subject of a customer initiated investment related arbitration claim where the customer sought $80,000.00 in damages founded on accusations that (1) unfounded statements had been made about investments by the stockbroker (2) contractual obligations were not complied with and […]

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Aegis Capital Corp Sued For Breach Of Fiduciary Duty

Stephen Giannantonio (also known as Steve Gannantaonio) of New York New York a stockbroker currently registered with Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim where the customer requested $304,000.00 in damages based upon accusations that (1) the customer’s account was churned (2) contractual obligations had been breached (3) […]

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Aegis Capital Sued By Investors For Misconduct

Michael Christopher Venturino of Garden City New York a stockbroker formerly registered with Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim which was settled for $300,668.16 in damages based upon accusations that (1) investment recommendations made to the customer failed to be suitable (2) unauthorized trades were effected in […]

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Aegis Capital Sued By Investors For Failure To Execute

Robert Anthony Guidicipietro (also known as Robert A. Peters) of Holmdel New Jersey a stockbroker formerly registered with Aegis Capital Corp. is referenced in a customer initiated investment related written complaint which was resolved for $36,272.00 on September 6, 2018 founded on allegations that the customer’s stop loss order had been disregarded by Guidicipietro during […]

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Aegis Capital Sued By Investors For Unauthorized Trading

Nick Eugene Son of New York New York a stockbroker currently employed by Aegis Capital Corp. is referenced in a customer initiated investment related arbitration claim where the customer sought $224,968.00 in damages supported by allegations that (1) investment recommendations made to the customer were not suitable and (2) unauthorized trades had been executed in […]

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Aegis Capital Sued By Investors For Unauthorized Trading

Jonathan Edward Rago of Melville New York a stockbroker formerly employed by Aegis Capital Corp. is the subject of a customer initiated investment related arbitration claim which was resolved for $74,787.96 in damages supported by allegations that (1) investment recommendations made to the customer were not suitable and (2) unauthorized trades were executed in the […]

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Aegis Capital Sued By Investors For Churning

Shadi Taysir Barakat of New York New York a stockbroker formerly registered with Aegis Capital Corp. is the subject of a customer initiated investment related arbitration claim which had been settled for $150,000.00 in damages founded on accusations that between June 1, 2013 and June 1, 2016: (1) investment recommendations made to the customer by […]

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Aegis Sued By Investors For Unauthorized Trading

Rick John Sande of Melville New York a stockbroker currently employed by Aegis Capital Corp is the subject of a customer initiated investment related arbitration claim where the customer sought $12,334.53 in damages founded on allegations that (1) investment recommendations which had been made to the customer failed to be suitable given the customer’s objectives […]

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