August 2016-New York
The FINRA records of Nicholas Parisi , a stock broker who is currently unlicensed and who was most recently employed by Aegis Capital Corp. , disclose a pending customer dispute and 2 outstanding judgment/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 the pending dispute, FINRA Case #16-0031, a customer of Aegis Capital alleges damages of $135,000 for the period from February 2012 through May 2012.
Parisi discloses 2 outstanding tax liens; one to the Internal Revenue Service in the amount of $33,792.88 and one to the NY State Department of Taxation and Finance in the amount of $10,718.53.
Parisi was employed by Aegis Capital Corp. from 7/2010 – 5/2016. Prior to that he was employed by John Thomas Financial, a firm expelled by FINRA in 10/2013.
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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