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aegis capital litigation

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Rex Securities Law

Sean Sullivan  Investigation September 2022- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  customer disputes and a termination from employment. The Financial Industry…

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Robert MacNamee- Former Aegis Capital Broker- Discloses 2 Pending Customer Disputes -Red Bank, NJ

Robert MacNamee- Former Aegis Capital Broker- Discloses 2 Pending Customer Disputes -Red Bank, NJ 150 150 ER

Robert MacNamee  Investigaton April 2022- Red Bank, NJ According to publicly available records,  Robert P. MacNamee,  a former Aegis Capital broker discloses  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY 150 150 ER

Daniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill,  a  former stockbroker registered with Aegis Capital Corporation, disclose a…

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Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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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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