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Aegis Capital Corp. problem

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

New York According to FINRA records,  Maria Fan,   a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm,   discloses  a currently pending customer dispute and 2 prior…

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Thomas Tedeschi-Former Aegis Capital Broker-Named in Customer Dispute

Thomas Tedeschi-Former Aegis Capital Broker-Named in Customer Dispute 150 150 Rex Securities Law

UPDATE APRIL 2017-In October 2016 Thomas Tedeschi was suspended for a week for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA…

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Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton

Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton 150 150 Rex Securities Law

November 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by  Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and  9 prior customer disputes. The…

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