July 2016- Melville, NY
The FINRA records of Matthew DiGregorio , a stock broker who formerly worked for Aegis Capital and J.D. Nicholas & Associates , disclose a currently pending regulatory matter, a prior final regulatory event, 5 prior final customer disputes and 3 outstanding judgement/liens
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In a currently pending FINRA Case # 2015045909501, FINRA alleges that DiGregorio failed to pay an award as ordered by a FINRA arbitration panel to his former partners at a FINRA member firm and during the investigation told FINRA he does not intend to honor the award. The complaint alleges that DiGregorio refused to produce any documents responsive to the arbitration panel’s orders, specifically in relation to his claims that his child was involved in an accident that resulted in an adjournment or the panel hearings.
In prior regulatory matter 13-0570 DiGregorio was suspended in 8/2015 for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information.
DIgregorio discloses the following judgements:
- a judgement in favor of Volvo Car in the amount of $3,858.74
- a judgement related to the dispute with his former partners in the amount of $3,452.93
- a judgment in favor of Stacey DiGregario in the amount of $11,617.57
DiGregorio was employed by Aegis Capital from 6/2015-8/2015, with J.D. Nicholas & Assoc. from 1/2013-7/2015 and before that with Legend Securities from 6/2012-1/2013. He was with Chelsea Financial Services from 9/2010-7/2012.
If you have losses in an account handled by Matthew DiGregorio , contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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