fbpx

Aegis Capital Corp. investigation

Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning
Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning 150 150 Rex Securities Law

July 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 more

David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred
David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred 150 150 Rex Securities Law

Melville, 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 more

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute
Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute 150 150 Rex Securities Law

July 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 more

Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL
Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL 150 150 Rex Securities Law

Tampa, 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…

read more

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens
Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens 150 150 Rex Securities Law

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…

read more

Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY
Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY 150 150 Rex Securities Law

Melville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…

read more

Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme
Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme 150 150 Rex Securities Law

June 25, 2016-Philadelphia Former Aegis Capital Corp. stock broker Malcolm Segal, of Langhorne, Pennsylvania, and Boynton Beach, FL, was sentenced to 126 months in prison in connection with a Ponzi…

read more

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute
Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute 150 150 Rex Securities Law

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records,  Sean W.…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com