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aegis capital problem

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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Thomas J. Tedeschi-Former Joseph Stone Capital Broker-Discloses Regulatory Suspension

Thomas J. Tedeschi-Former Joseph Stone Capital Broker-Discloses Regulatory Suspension 150 150 Rex Securities Law

October 2016-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  stockbroker who is currently employed by  Salomon Whitney Financial  disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…

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James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Rex Securities Law

April 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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Former Aegis Capital Broker Thomas Juliano Sanctioned by Securities Regulator

Former Aegis Capital Broker Thomas Juliano Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 5, 2015 Thomas Juliano   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide notice to his…

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Boca Raton Broker Sean Mollard Fined and Suspended by FINRA

Boca Raton Broker Sean Mollard Fined and Suspended by FINRA 150 150 Rex Securities Law

Boca Raton, Florida UPDATE June 2016-Mollard discloses $1M customer arbitration. See this for more details.  In March 2014 the Financial Industry Regulatory Authority fined Boca Raton , FL , broker Sean…

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