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Aegis Capital Corp. problem

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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Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Rex Securities Law

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

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David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY

David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY 150 150 Rex Securities Law

September 2019-Port Washington, NY-Tampa, FL The FINRA records of  David S. Silberg ,  a  broker who previously worked for  Aegis Capital Corp.   disclose a prior regulatory event,  3 prior final customer disputes and…

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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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Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit

Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit 150 150 Rex Securities Law

April 2017- Melville, NY According to publicly available records Christopher A. Knutson , (CRD# 2997006) ,  a  stockbroker who is currently registered with Aegis Capital Corp.  discloses settlement of a customer dispute. The Financial Industry Regulatory…

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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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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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