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…
James Bradley Schwartz (also known as Jim Schwartz) 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 in a Complaint alleging that (1) Schwartz excessively traded and churned customers’ accounts and (2) Schwartz engaged in deceptive and fraudulent activities…
James Bradley Schwartz, of New York, New York, a stockbroker formerly registered with Aegis Capital Corp., is the subject of a customer initiated investment related arbitration claim on April 28, 2017, in which the customer requested $269,131.00 in damages based upon allegations against Schwartz of breach of fiduciary duty, breach of contract, omissions and misrepresentations,…
James Bradley Schwartz, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp., has been named in a customer initiated investment related arbitration claim on April 28, 2017, in which the customer requested $269,131.00 in damages based upon allegations that Schwartz, between April of 2014 and May of 2016, breached his fiduciary and…