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…
read moreAugust 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…
read moreNew 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…
read moreApril 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…
read moreAugust 2016-New York The FINRA records of David Perez , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final customer dispute and 5 outstanding judgment/liens. The…
read moreAugust 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…
read moreNew 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…
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…
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