Aegis Capital Corp Archives - Page 2 of 7

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November 2, 2021
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Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 2, 2021 November 2, 2021

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered and who was last…

Rex Securities Law
September 15, 2021
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Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York

Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 15, 2021

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta , a stockbroker who formerly worked for National Securities Corp. and who is currently registered with Worden Capital Management, disclose…

Rex Securities Law
July 28, 2021
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Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO

Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 28, 2021 July 29, 2021

July 2021 – St. Louis, MO According to publicly available records Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who is currently employed by Aegis Capital and who previously worked for…

Rex Securities Law
November 19, 2020
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Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ

Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2020 November 19, 2020

November 2020- Red Bank, NJ According to publicly available records Johnny Guan (CRD#5711977), a stockbroker employed with Aegis Capital discloses two settled customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
September 7, 2019
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Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 7, 2019 September 7, 2019

September 2019, Melville, NY According to publicly available records Robert Paul Solow (CRD# 4532161) , a stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…

Rex Securities Law
January 30, 2019
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Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY

Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2019 January 30, 2019

January 2019- Garden City, NY According to publicly available records Michael Christopher Venturino , a stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…

Rex Securities Law
September 13, 2018
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Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL

Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 13, 2018 January 9, 2020

January 2020-Boca Raton, FL The FINRA records of Gregory Spencer O’Brien, a stockbroker who was formerly employed by Aegis Capital Corp. disclose 2 pending customer disputes , 3 prior final customer disputes and…

Rex Securities Law
June 26, 2018
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Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY

Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 26, 2018 June 26, 2018

June 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…

Rex Securities Law
August 30, 2017
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Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2017 September 7, 2019

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) , a currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…