July 2016-Melville, New York
The FINRA records of Daniel J. O’Neill , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens.
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 received by the company in February 2016, a customer of Aegis Capital alleges unspecified damages for unauthorized trades and misuse of margin from May 2013-June 2015.
O’Neill discloses a discharge from Chapter 7 bankruptcy in 10/2009.
O’Neill discloses the following outstanding judgment/liens:
- $30,000 in favor of Ladenburg Thalmann & Co. filed in Supreme Court of New York, Suffolk County.
- $56,151 in favor of the Internal Revenue Service filed in Suffolk County, NY.
- $7,414 tax lien in favor of the State of New York filed in Suffolk County.
O’Neill has been employed by Aegis Capital since 4/2013. He was with Ladenburg Thalmann from 3/2011-5/2013 and Maxim Group from 8/2007-4/2011.
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.
Florida-561 391 1900