Tag Archives: Aegis Capital Corp

Securities Arbitration Claim Filed Against Aegis Capital For Unsuitable Recommendations

January 20, 2022  |   Posted by :   |   Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs, Overconcentration, Unsuitable Investment Recommendations   |   Comments Off on Securities Arbitration Claim Filed Against Aegis Capital For Unsuitable Recommendations

Johnny Guan, of Red Bank, New Jersey, a stockbroker currently registered with Aegis Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $125,820.12 in damages supported by accusations that between December of 2012 and November of 2020, Guan provided unsuitable investment recommendations to the customer […]

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Another Aegis Capital Stockbroker Accused Of Unsuitable Recommendations

Gerald Richard Sharpe Jr. (also known as Gerry Sharpe), of Red Bank, New Jersey, a stockbroker currently registered with Aegis Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $283,716.78 in damages supported by allegations that unsuitable investment recommendations had been made by Sharpe […]

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FINRA Sanctions Aegis Stockbroker For Excessive Trading

Daniel James O’Neill (also known as Dan O’Neill and as Daniel James Oneill), of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, has been issued an Order Accepting Offer of Settlement by Financial Industry Regulatory Authority (FINRA) where O’Neill has been suspended from associating with any FINRA member in any capacity based […]

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Investors File Securities Arbitration Claim Against Aegis Capital

Robert Patrick MacNamee, of Red Bank, New Jersey, a stockbroker formerly registered with Aegis Capital Corp, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $190,873.62 in damages founded on accusations of MacNamee’s unsuitable investment recommendations concerning the customer’s account at Aegis Capital Corp. Financial Industry Regulatory […]

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Aegis Capital Corp Stockbroker Accused Of Misrepresentation

December 07, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Brian Joseph Lombardi, of Boca Raton, Florida, a stockbroker formerly registered with Aegis Capital Corp, is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $57,500.00 in damages founded on accusations that false and misleading statements were made by Lombardi regarding the customer’s investment transactions at Aegis Capital Corp. […]

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Aegis Capital Stockbroker Under Investigation For Excessive Trading

Michael Christopher Venturino, of Garden City, New York, a stockbroker formerly registered with Aegis Capital Corp, is identified in a FINRA investigation. Case No. 20210703375 (September 13, 2021). FINRA is contemplating taking disciplinary action against Venturino for potentially making excessive trades in customer accounts when he was registered with Aegis Capital Corp. According to FINRA […]

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Investors Accuse Aegis Capital Corp Of Excessive Trading

Thomas Duggan, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $7,500.00 in damages based on allegations of excessive trading by Duggan while he was employed by Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) […]

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Aegis Capital Corp Accused Of Unsuitable Trading

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 FINRA securities arbitration claim where the customer sought $180,000.00 in damages based upon allegations of unsuitable trading by Faho which […]

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Aegis Capital Corp Sanctioned For Failure To Supervise

Aegis Capital Corp of New York, New York, has been censured and fined $1,050,000.00 by Financial Industry Regulatory Authority (FINRA) based in part on findings that it failed to supervise stockbrokers resulting in unsuitable and excessive trading in customer accounts. Letter of Acceptance Waiver and Consent No. 2016051704305 (November 8, 2021). According to the AWC, […]

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Investors File Arbitration Claim Against Aegis Capital Corp

Keith Lawton James Connolly, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp, is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $45,000.00 in damages based upon allegations of unsuitable trading by Connolly during the period that he was registered with Aegis Capital Corp. Financial […]

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Aegis Capital Stockbroker Accused Of Unsuitable Trading

David Stewart Silberg of Melville New York a stockbroker formerly registered with Aegis Capital Corporation is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $50,000.00 in damages supported by accusations that the customer had been placed into unsuitable structured products between September of 2015 and June of […]

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Investors File FINRA Arbitration Claim Against Aegis Capital Corp

November 12, 2021  |   Posted by :   |   Churning, Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Scott Neil Hananel of Melville New York a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages founded upon accusations that Hananel executed unsuitable securities transactions during the time that he was associated with Aegis Capital Corp. Financial […]

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Investors Accuse Aegis Capital Of Unsuitable Trading

November 08, 2021  |   Posted by :   |   Bond Fraud, Investment and Regulatory News, Structured Products, Unauthorized Trading   |   Comments Off on Investors Accuse Aegis Capital Of Unsuitable Trading

Alan Zelig Appelbaum a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $550,000.00 in damages supported by allegations that they had been sold unsuitable structured products when Appelbaum was registered with Aegis Capital Corp. Financial Industry Regulatory Authority (FINRA) Arbitration […]

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Laidlaw Accused By Investors Of Breach Of Fiduciary Duty

November 08, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Laidlaw Accused By Investors Of Breach Of Fiduciary Duty

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 […]

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Investors File Securities Arbitration Claim Against National Securities Corp

October 19, 2021  |   Posted by :   |   Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Securities Arbitration Claim Against National Securities Corp

Rick Alan Davidson of Miami Florida a stockbroker formerly registered with National Securities Corp is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $1,000,000.00 in damages based upon allegations that their account was exposed to unsuitable trading of stocks by Davidson during the time that he was associated […]

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Investors File FINRA Securities Arbitration Claim Against Aegis Capital Corp

October 08, 2021  |   Posted by :   |   Failure to Diversify, FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Investors File FINRA Securities Arbitration Claim Against Aegis Capital Corp

Christopher Rice Callagy of New York New York a stockbroker formerly registered with Aegis Capital Corp is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $180,000.00 in damages based on accusations of poor investment performance during the time that Callagy was associated with Aegis Capital Corp. Financial […]

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Aegis Capital Corp Stockbroker Accused Of Misrepresentation

October 08, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Structured Products, Unsuitable Investment Recommendations   |   Comments Off on Aegis Capital Corp Stockbroker Accused Of Misrepresentation

Arthur Willard Lewis of Boca Raton Florida a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim which was resolved for $20,000.00 in damages based upon accusations of a structured product being misrepresented by Lewis when he was associated with Aegis Capital Corp. Financial Industry […]

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Investors Accuse Worden Capital Stockbroker Of Securities Fraud

October 08, 2021  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Investment and Regulatory News   |   Comments Off on Investors Accuse Worden Capital Stockbroker Of Securities Fraud

Joseph Francis Valdini of Melville New York a stockbroker formerly registered with Worden Capital Management is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,277,631.00 in damages founded on allegations of misrepresentation and churning of stocks and over-the-counter equities by Valdini when he was employed by Worden Capital […]

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Aegis Capital Corp Accused Of Unsuitable Recommendations

August 26, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Aegis Capital Corp Accused Of Unsuitable Recommendations

Michael James Farrell  of Red Bank New Jersey a stockbroker formerly registered with Aegis Capital Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $190,873.62 in damages based on accusations that Farrell provided unsuitable recommendations to them in regard to investments held in the customer’s Aegis […]

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Capitol Securities Stockbroker Sanctioned For Unauthorized Trading

August 06, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Capitol Securities Stockbroker Sanctioned For Unauthorized Trading

Gilbert Anthony Kuta of Timonium Maryland a stockbroker formerly registered with Capitol Securities Management Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Kuta executed trades in customer accounts without authorization while he was associated with Capitol Securities Management. Letter […]

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FINRA Charges Aegis Stockbroker With Excessive Trading

August 06, 2021  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on FINRA Charges Aegis Stockbroker With Excessive Trading

Daniel James O’Neill (also known as Dan O’Neill) of Melville New York a stockbroker formerly registered with Aegis Capital Corp. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that O’Neill executed unsuitable trades and engaged in excessive trading at Aegis Capital Corp. Department of Enforcement v. Daniel […]

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Aegis Capital Stockbroker Sanctioned By FINRA For Unsuitable Trading

July 31, 2021  |   Posted by :   |   Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Aegis Capital Stockbroker Sanctioned By FINRA For Unsuitable Trading

Kishan Parikh (also known as Sean Parikh) of New York New York a stockbroker formerly registered with Aegis Capital Corp has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings of Parikh’s excessive and unsuitable trading in customer accounts resulting in losses. Department […]

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FINRA Sanctions Another Aegis Stockbroker For Churning

July 31, 2021  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   Comments Off on FINRA Sanctions Another Aegis Stockbroker For Churning

Douglas Edward Szempruch of Melville New York a stockbroker formerly registered with Aegis Capital Corp has been suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he excessively traded in customer accounts at Aegis Capital Corp and made misleading statements to customers relating […]

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Investors File FINRA Securities Arbitration Claim Against LPL Financial

July 12, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File FINRA Securities Arbitration Claim Against LPL Financial

Jessica Y. Jung of Palo Alto California a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought more than $5,000.00 in damages supported by allegations that Jung made misrepresentations regarding alternative investments that the customer purchased through her while she […]

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Investors File FINRA Arbitration Claim Against National Securities For Unsuitable Recommendations

July 07, 2021  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs, Private Placement Fraud   |   Comments Off on Investors File FINRA Arbitration Claim Against National Securities For Unsuitable Recommendations

Thomas Edison Kelly Jr. of New York New York a stockbroker formerly registered with National Securities Corp is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought more than $5,000.00 in damages based upon accusations that they were sold unsuitable private placements by Kelly while he was associated […]

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FINRA Finally Sanctions Aegis Stockbroker For Unsuitable Recommendations

March 31, 2021  |   Posted by :   |   Boilerroom Sales, Excessive Trading, Investment and Regulatory News   |   Comments Off on FINRA Finally Sanctions Aegis Stockbroker For Unsuitable Recommendations

Edmund Roger Zack of New York New York a stockbroker formerly registered with Aegis Capital Corp has been fined $10,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zack made unsuitable recommendations to Aegis customers and made excessive trades in their […]

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Investors File Securities Arbitration Claim Against Aegis For Unsuitable Trading

March 31, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Securities Arbitration Claim Against Aegis For Unsuitable Trading

Gregory Spencer O’Brien of New York New York a stockbroker formerly registered with Aegis Capital Corp. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $153,300.00 in damages founded on accusations that the customer had been placed into poorly performing investments between 2013 and 2019 during the period […]

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Aegis Stockbroker Sanctioned For Unauthorized Trading

March 31, 2021  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Aegis Stockbroker Sanctioned For Unauthorized Trading

Corey Alexander Johnson of Melville New York a stockbroker currently registered with Aegis Capital Corp has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Johnson executed unauthorized transactions in customer accounts during the time that he was associated with Aegis Capital […]

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Aegis Stockbroker Charged With Excessive Trading

March 31, 2021  |   Posted by :   |   Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Aegis Stockbroker Charged With Excessive Trading

Kishan Parikh (also known as Sean Parikh) of New York New York a stockbroker formerly registered with Aegis Capital Corp has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with executing unsuitable, excessive and unauthorized trades in the accounts of Aegis Capital Corp customers. Department of Enforcement v. Kishan Parikh Disciplinary Proceeding […]

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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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