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

Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading 150 150 Robert Rex, Esq.

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 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 the currently pending matter, FINRA Case #16-0684, a customer of Aegis Capital alleges damages of $150,000 for unauthorized trading, over concentration in unsuitable investments, unsuitable use of margin and breach of fiduciary duty from March 2010-November 2015.

In one of the prior customer disputes, FINRA Case 09-0498, a customer of Hananel’s prior employer, Gunnallen Financial alleged damages of $300,000 for misrepresentations. That matter settled for $150,000.

Hananel has been employed by Aegis Capital Corp since 2/2010.   

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Verified by MonsterInsights