April 2017- New York The FINRA records of Demitrios Hallas , a former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…
read moreApril 2017- Melville, NY According to publicly available records Christopher A. Knutson , (CRD# 2997006) , a stockbroker who is currently registered with Aegis Capital Corp. discloses settlement of a customer dispute. The Financial Industry Regulatory…
read moreOctober 2016-Farmingdale, NY The FINRA records of Thomas J. Tedeschi, a stockbroker who is currently employed by Salomon Whitney Financial disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…
read moreNew York UPDATE MAY 2017-FINRA Case 13-3289 alleging churning, unsuitable use of margin and poor recommendations was settled for $390,000. ORIGINAL POST August 2016– The FINRA records of Joe M. Pazmino , a stock…
read moreJuly 2016-Melville , New York The FINRA records of Scott N. Hananel , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute and 2 prior final customer disputes. The Financial Industry Regulatory…
read moreApril 2019-Garden City, New York The FINRA records of James B. Schwartz , a former stock broker who worked for Aegis Capital from 8/2013-6/2016 and was last employed by Joseph Gunnar & Co. , disclose that…
read moreJuly 2016-Melville, New York The FINRA records of Bruce A. Stark , a stock broker currently employed by Aegis Capital Corp. , disclose 2 pending customer disputes, a prior final customer dispute and 1 currently outstanding judgment/liens.…
read moreMelville, New York UPDATE JUNE 2018-In 1/2018 a customer of Aegis Capital Corp. from Rhode Island filed FINRA arbitration 17-2867 alleging that Sheppard made unsuitable recommendations, traded the account excessively…
read moreJuly 2016-Melville, New York The FINRA records of Daniel J. O’Neill , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…
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