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Aegis Capital Corp. complaint

Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute
Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

August  2016-Melville, New York The FINRA records of Jonathan E. Rago ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and two prior regulatory events.…

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Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations
Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations 150 150 Rex Securities Law

August  2016-Melville, New York The FINRA records of Nicholas F. Milano ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award…

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Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute
Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

August  2016-New York The FINRA records of Serge Parakhnevich ,  a  stock broker who is currently employed by PHX Financial, Inc. , disclose a pending customer dispute and an outstanding judgment/lien. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim
Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim 150 150 Rex Securities Law

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently employed by Aegis Capital , disclose a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory…

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Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning
Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning 150 150 Rex Securities Law

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently  employed  by Aegis Capital Corp.  , disclose a pending customer dispute and a prior final customer dispute. The Financial…

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Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes
Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes 150 150 Rex Securities Law

New York MAY 2018 UPDATE–The FINRA records  of Joshua Feldman disclose settlement of   FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…

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Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens
Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Rex Securities Law

April 2019-New York The FINRA records of Nicholas Parisi ,  a  stock broker who is currently  unlicensed and who was most recently employed  by Aegis Capital Corp.  , disclose a settled customer dispute and 2 outstanding…

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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 150 150 Rex Securities Law

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…

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