July 2016-Brooklyn, NY The FINRA records of Andrew B. Kramer , a stock broker who is currently unlicensed and was most recently employed by Capitol Securities Management & Kramer Capital Management , disclose a prior regulatory event, 2…
read moreJuly 2016-Florham Park, NJ The FINRA records of James B. Moran , a stock broker currently employed by Capitol Securities Management , disclose a prior regulatory event, a pending customer dispute, 3 prior final customer disputes and a…
read moreJuly 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…
read moreApril 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…
read moreJuly 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.…
read moreMelville, 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…
read moreJuly 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…
read moreJuly 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…
read moreTampa, 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…
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