JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) , a former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…
read moreSeptember 2019-Port Washington, NY-Tampa, FL The FINRA records of David S. Silberg , a broker who previously worked for Aegis Capital Corp. disclose a prior regulatory event, 3 prior final customer disputes and…
read moreApril 2017- Hauppauge, NY The FINRA records of John David Fenimore , a former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…
read moreApril 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 moreMarch 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…
read moreAugust 2016-Melville, New York The FINRA records of Jonathan E. Rago , a stock broker who is not currently registered but was last employed by Aegis Capital Corp. , disclose a pending customer dispute and two prior regulatory events.…
read moreAugust 2016-Melville, New York The FINRA records of Nicholas F. Milano , a stock broker who is not currently registered but was last employed by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award…
read moreAugust 2016-New York The FINRA records of Serge Parakhnevich , a stock broker who is currently employed by PHX Financial, Inc. , disclose a pending customer dispute and an outstanding judgment/lien. The Financial Industry Regulatory Authority (FINRA) is the agency…
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