Tag Archives: Steven Robert Luftschein

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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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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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 Capital Corp Sued By Customer For Suitability

November 01, 2017  |   Posted by :   |   Churning, Unauthorized Trading   |   0 Comments

Steven Robert Luftschein, of Melville, New York, a stockbroker formerly registered with Aegis Capital Corp., has been named in a customer initiated investment related arbitration claim, where the customer has requested $269,131.00 in damages based upon allegations of breach of fiduciary duty, breach of contract, omissions and misrepresentations, excessive and unauthorized trading, and unsuitable investment […]

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