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Monthly Archives :

July 2016

Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment
Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment 150 150 Rex Securities Law

July 2016-Newport News, VA The FINRA records of Steve D. Heath ,  a  stock broker who is currently  employed  by Capitol Securities Management  , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…

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Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute
Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-Brooklyn, NY The FINRA records of Andrew B. Kramer ,  a  stock broker who is currently unlicensed and was most recently employed  by Capitol Securities Management & Kramer Capital Management , disclose a prior regulatory event, 2…

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James B. Moran-Capitol Securities Management Broker-Discloses Customer Dispute
James B. Moran-Capitol Securities Management Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-Florham Park, NJ The FINRA records of James B. Moran ,  a  stock broker currently employed  by Capitol Securities Management  , disclose a prior regulatory event, a pending customer dispute, 3 prior final customer disputes and a…

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Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading
Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading 150 150 Rex Securities Law

July 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…

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James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York
James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Rex Securities Law

April 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…

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Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning
Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning 150 150 Rex Securities Law

July 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.…

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David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred
David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred 150 150 Rex Securities Law

Melville, 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…

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Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute
Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute 150 150 Rex Securities Law

July 2016-Melville, New York The FINRA records of Steven R. Luftschein ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 11 prior final customer disputes. The Financial Industry Regulatory…

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Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute
Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-Boca Raton, Florida The FINRA records of Paul A. Falcon ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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