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aegis capital

Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY

Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY 150 150 ER

Joseph M. Giordano and Roberto Birardi / Aegis Capital  Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi,  stockbrokers who are currently employed by…

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Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO

Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO 150 150 Rex Securities Law

July 2021 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who is currently employed by Aegis Capital and who previously worked for…

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Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY

Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY 150 150 Rex Securities Law

January 2019- Garden City, NY According to publicly available records Michael Christopher Venturino ,  a  stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…

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Update on Former Aegis Capital Broker Malcolm Segal Investigation

Update on Former Aegis Capital Broker Malcolm Segal Investigation 150 150 Rex Securities Law

According to FINRA records, Malcolm Segal of Langhorne, Pennsylvania and Boynton Beach, FL, was discharged by Aegis Capital Corporation on July 28, 2014. The following comment was entered by Aegis…

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Former Broker Michael A. Barina Fined/Suspended by FINRA

Former Broker Michael A. Barina Fined/Suspended by FINRA 150 150 Rex Securities Law

  FINRA announced in November 2013 that former broker Michael Anthony Barina of Longwood Florida, submitted a Letter of Acceptance, Waiver and Consent in which he was fined d$12,500 and…

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