James Bernthal Investigation June 2023-New York, NY According to publicly available records James R. Bernthal a broker with Aegis Capital Corp., discloses 3 prior and a pending customer dispute. The…
read moreRobert Melberth Investigation March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth, a broker employed by Emerson Equity, discloses multiple customer disputes seeking more than $12 million in damages.…
read moreSean Sullivan Investigation September 2022- Melville, NY According to publicly available records, Sean T. Sullivan, a former Aegis Capital broker discloses customer disputes and a termination from employment. The Financial Industry…
read moreShadi Barakat Investigation August 2022 -New York The FINRA records of Shadi Taysir Barakat, a stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events, a currently pending customer dispute, 3…
read moreRobert MacNamee Investigaton April 2022- Red Bank, NJ According to publicly available records, Robert P. MacNamee, a former Aegis Capital broker discloses customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJoseph M. Giordano and Roberto Birardi / Aegis Capital Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi, stockbrokers who are currently employed by…
read moreJoseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…
read moreAegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…
read moreDaniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill, a former stockbroker registered with Aegis Capital Corporation, disclose a…
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