MAY 2018 UPDATE–The FINRA records of Joshua Feldman disclose settlement of FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer alleged that from January 2010-January 2017 Feldman made unsuitable investment recommendations and misrepresentations and or omissions concerning risk and material facts. The case was settled in 1/2018 for $47,500.
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 FINRA Case #16-0916, a customer of Aegis Capital alleged damages of $300,000 for unsuitability in penny stocks and option transactions for the period from January 2011 through December 2015. The case was settled for $65,000 in 5/2017.
Feldman has been employed by Aegis Capital Corp. since 12/2011. Prior to that he was employed by First Midwest Securities from 1/2009-12/2011.
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.
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