Aegis Capital Corp Archives - Page 5 of 7

Rex Securities Law
August 3, 2016
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Rodney B. Ibrahim-Former Maxim Group Stock Broker-Discloses Discharge from Employment

Rodney B. Ibrahim-Former Maxim Group Stock Broker-Discloses Discharge from Employment https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 3, 2016 August 3, 2016

August 2016-NewYork The FINRA records of Rodney B. Ibrahim , a stock broker who is currently employed by Aegis Capital Corp. , disclose a separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Rex Securities Law
August 3, 2016
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Joe M. Pazmino-Aegis Capital StockBroker-Discloses 2 Customer Complaints for Excessive Trading-New York

Joe M. Pazmino-Aegis Capital StockBroker-Discloses 2 Customer Complaints for Excessive Trading-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 3, 2016 July 10, 2017

New York UPDATE MAY 2017-FINRA Case 13-3289 alleging churning, unsuitable use of margin and poor recommendations was settled for $390,000. ORIGINAL POST August 2016– The FINRA records of Joe M. Pazmino , a stock…

Rex Securities Law
July 25, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 25, 2016

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…

Rex Securities Law
July 25, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 May 20, 2019

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…

Rex Securities Law
July 25, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 25, 2016

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.…

Rex Securities Law
July 25, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 June 27, 2018

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…

Rex Securities Law
July 25, 2016
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Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 25, 2016

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…

Rex Securities Law
July 25, 2016
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Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute

Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 25, 2016

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…

Rex Securities Law
July 25, 2016
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Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL

Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 29, 2017

Tampa, Florida JULY 2017 UPDATE– Kenneth L. Jones refused to appear before FINRA for on the record testimony in connection with an investigation of the circumstances related to his termination…