April 2017-Port Washington, NY-Tampa, FL
The FINRA records of David S. Silberg , a broker with Aegis Capital Corp. disclose a pending customer dispute, 2 prior final customer disputes and 2 terminations from employment.
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 currently pending FINRA Case 16-01779 in Tampa, FL , a customer of Aegis Capital seeks damages of $100,001 and alleges that from 2013-present unsuitable investments were made together with misrepresentations and omission of material facts concerning an investment in a corporate debt security.
In a prior matter , FINRA Case 9-6509, a customer of GunnAllen Financial, a prior employer, alleged damages of $375,000 for unsuitable investments and unauthorized trading. That case was settled for $50,000.
Silberg has been registered with Aegis Capital since 2/2010 and discloses a business affiliation with ACC Agency .
In 11/2004 Silberg was discharged from Kirlin Securities for failing to inform his supervisor or the firm about an oral customer complaint.
In 2/1998 Silberg was discharged from NYLife Securities after he stopped payment on a check that he had remitted to NY Life Securities to reimburse it for expenses incurred in making a client whole.
If you have questions about an account handled by David S. Silberg , contact us to discuss 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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