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Aegis Capital Corp. complaint

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers
Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Rex Securities Law

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

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Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York
Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York 150 150 Rex Securities Law

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta ,  a   stockbroker who formerly worked for National Securities Corp.  and who  is currently registered with Worden Capital Management, disclose…

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Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ
Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ 150 150 Rex Securities Law

November 2020- Red Bank, NJ According to publicly available records Johnny Guan  (CRD#5711977), a stockbroker employed with Aegis Capital discloses two settled customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY
Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY 150 150 Rex Securities Law

January 2019- Garden City, NY According to publicly available records Michael Christopher Venturino ,  a  stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…

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Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL
Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL 150 150 Rex Securities Law

January 2020-Boca Raton, FL The FINRA records of  Gregory Spencer O’Brien,  a  stockbroker who was formerly employed by Aegis Capital Corp. disclose 2 pending customer disputes , 3 prior final customer disputes and…

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Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY
Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY 150 150 Rex Securities Law

June 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…

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John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY
John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Rex Securities Law

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

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Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL
Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL 150 150 Rex Securities Law

MARCH 2018 UPDATE–Gary E. Morse left Celadon Financial Group 8/2017 and is currently registered with Precision Securities. His FINRA records disclose  currently  outstanding liens owed to the Internal Revenue Service…

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Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN
Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN 150 150 Rex Securities Law

March 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…

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