Category Archives: Aegis Capital Corp

Aegis Capital Corp. Discloses 30 Regulatory Sanctions-Dallas, TX

Aegis Capital Corp. discloses 30 prior regulatory events on their FINRA records, including the following:

  • March 2018-The US Securities and Exchange Commission  (SEC) instituted  cease and desist proceedings against Aegis for alleged failures in their supervisory procedures related to detection of suspicious activities and violations of Exchange Act rules. Aegis as assessed a $750,000 fine.
  • March 2018-Aegis was assessed a fine of $550,000 by the SEC for supervisory failures related to penny stock transactions.

Aegis Capital Corp. was formed in 1984 and is headquartered in New York. They are licensed to sell securities in 53 States and Territories. While most of their offices are located on the East Coast in Connecticut, Florida, New Jersey and New York, they also have offices in other locations, including Dallas, Texas, and Portland, OR.

If you have questions about an account with Aegis Capital Corp. call for a no charge consultation to discuss your options.

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

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging Churning – Iselin, NJ

August 2017 -Tinton Falls, NJ

According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , disclose 2 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 FINRA case #15-02835  a customer of  Aegis Capital Corp. alleged unsuitable investments, unauthorized trading, unsuitable use of margin and account churning.   The customer alleged damages of $466,606. That case settled for $185,000.

In currently pending FINRA case 15-03242  a customer of Aegis Capital Corp. alleges unsuitable recommendations, breach of fiduciary duty, negligence and misrepresentation and seeks damages of $204,136.

Lavista’s prior employment includes Aegis Capital Corp. National Securities Corporation, Obsidian Financial Group and Arive Capital Markets.  

If you have questions about an account in an account handled by Rocco Lavista contact us to discuss your legal options.

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

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC

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 customer dispute, 6 prior customer disputes and a termination from employment.

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 4/2017, Templeton was permanently barred from the securities industry by FINRA to resolve allegations that he failed to provide documents and information requested by FINRA in the course of an investigation into allegations that he misused customer funds and committed other sales practice violations.

In 7/2016, a customer of Oppenheimer & Co. alleged unauthorized trading and sought damages of $61,475.  The case was settled for $62,475.

In FINRA case #16-00111  a customer of  Oppenheimer sought damages of $220,000 for unsuitable investments, fraud, breach of fiduciary duty and negligent supervision.   The case settled for $562,500.

In currently pending FINRA case 16-02363  a customer of Oppenheimer & Co. alleges fraud and breach of contract and seeks damages of $6,750,000.

Templeton was employed by Oppenheimer & Co. from 1/2007 to 8/2015.   Since that time he was employed briefly by FSC Securities Corporation and Aegis Capital Corp .

If you have questions about an account in an account handled by Gregg D. Templeton contact us to discuss your legal options.

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