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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Tag Archives: Kishan Parikh
Aegis Stockbroker Charged With Excessive Trading
March 31, 2021 | Posted by : Guiliano Law Group | Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading | Comments Off on Aegis Stockbroker Charged With Excessive Trading
Aegis Capital Sued By Customer In Arbitration
June 13, 2017 | Posted by : Guiliano Law Group | Churning, Excessive Trading, Investment and Regulatory News | 0 Comments
Kishan Parikh, of New York, New York, a stockbroker currently registered with Aegis Capital Corp., has been named in a customer initiated investment related arbitration claim on May 11, 2017, in which the customer requested $350,000.00 in damages based upon allegations that Parikh made unsuitable investment recommendations to the customer and effected trades in the […]
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