Tag Archives: Paul Anthony Falcon

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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Customer Accuses Aegis Capital Of Churning

December 15, 2017  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

Paul Anthony Falcon, of Miami, Florida, a stockbroker currently registered with Aegis Capital Corp., is the subject of a customer initiated investment related arbitration, where the customer has sought $190,000.00 in damages supported by accusations that between August 1, 2013 and February 1, 2016, excessive and unauthorized trades were executed in the customer’s investment account […]

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