Last Updated: February 2025
Aegis Capital Investigation Summary
Here’s what you need to know about New York, NY, headquartered brokerage firm Aegis Capital Corp.:
- Name: Aegis Capital Corp.
- Related Registered Investment Advisor (RIA): Aegis Capital Corp.
- Function: Stock Brokerage Firm/ Registered Investment Advisor
- Locations nationwide include: California, Connecticut, Florida, Georgia, Illinois, Kentucky, Maryland, Oregon, South Carolina, New York and Texas.
- CRD 15007
- Can Aegis Capital be sued in FINRA arbitration: Yes
- Sanctioned by Securities Regulators: Yes
- Have any brokers at Aegis Capital been sanctioned by regulators: Yes- See Below
- Have any customers made complaints against brokers at Aegis Capital: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Aegis Capital Corp.
According to their website, Aegis Capital was formed in 1984 and the firm provides a wide range of services to its customers, including: wealth management, investment banking, equity research, private equity, retirement planning, fixed income, insurance, alternative products, institutional investors, special purpose vehicles and structured products.
The Financial Industry Regulatory Authority (FINRA) is a non-profit organization that regulates the securities industry in the United States. FINRA’s mission is to protect investors and ensure market integrity.
Aegis Capital- Regulatory Sanctions
Aegis Capital discloses 38 Regulatory Events on their FINRA record, including the following:
- 8/2024 Montana regulators assessed a $25,000 fine and ordered that a restitution offer be made to a customer to resolve allegations that the firm failed to have adequate written supervisory procedures in effect to monitor certain of its registered representatives.
- 7/2022 The U.S. Securities and Exchange Commission (SEC) assessed a fine of $2.3 million and restitution to resolve allegations that certain Aegis brokers violated the Exchange Act by making unsuitable recommendations of highly-complex variable interest rate structured products and failures related to unauthorized trading, material misrepresentations and omissions.
- 11/2021 FINRA assessed a fine of $1,050,000 and restitution to resolve allegations that Aegis supervisory procedures were inadequate resulting in excessive and unsuitable trading activity in customer accounts
See “How to Research Your Broker-What is a CRD?” for instructions on how to access FINRA and SEC regulatory records and learn more about a broker or a broker-dealer firm.
Rex Securities Law Investigations of Registered Representatives Who Have Worked for Aegis Capital
Follow links below to review the FINRA disciplinary record of these brokers we have previously investigated:
- Appelbaum, Alan – Boca Raton, FL
- Barakat, Shadi – New York City
- Barlett, Alvery– St. Lous, MO
- Bataan, Cory – New York City
- Bernthal, James – New York City
- Birardi, Roberto – Greenwood, SC
- Callagy, Christopher – New York City
- Clemente, Guy – New York City
- Court, Brian – Holtsville, NY
- Curtis, Keith – Sarasota, FL
- D’Agostino, Keith – Melville, NY
- Diorio, Dominick – Melville, NY
- Duggan, Thomas – Melville, NY
- Eide, Isaac – New York, NY
- Filgueiras, Fabio – Aventura, FL
- Faho, Yann – New York City
- Falcon, Paul – Boca Raton, FL
- Farag, Eyal – Melville, NY
- Fasciglione, Michael – Garden City, NY
- Feldman, Joshua – New York City
- Fenimore, John – Hauppauge, NY
- Gazdak, Jonathan – Red Bank, NJ
- Gheith, Andy – Staten Island, NY
- Giacalone, Frank – Melville, NY
- Gimeli, Michael – New York, NY
- Giordano, Joseph – Tifton, GA
- Guan, Johnny – Red Bank, NJ
- Gugin, Aret – Melville, NY
- Guidipietro, Robert – Red Bank, NJ
- Hananel, Scott – Melville, NY
- Hart, Keith – Melville, NJ
- Huber, Dieter – Red Bank, NJ
- Ibrahim, Rodney – New York City
- Josse, Jean – New York City
- Jung, Jessica – Brentwood, TN
- Kelly Jr., Thomas – New York, NY
- Knutson, Christopher – Melville, NY
- Kuta, Gilbert – Timonium, MD
- Lavista Rocco – Tinton Falls, NJ
- Lee, Jon R. – Sarasota, FL
- Leytman, Eduard – New York City
- Lubitz, Bryan – Melville, NY
- Luftschein, Steven – Melville, NY
- MacNamee, Robert – Red Bank, NJ
- Mariana, James – Mineola, NY
- Melberth, Robert – Sarasota, FL
- Milano, Nicholas – Melville, NY
- Mollard, Sean – Boca Raton, FL
- Morse, Gary – Boca Raton, FL
- Nathan, Robert – Boca Raton, FL
- Newsome, Tyre – New York City
- Norton, Christopher – Boca Raton, FL
- O’Brien, Greg – Boca Raton, FL
- O’Neill, Daniel – Melville, NY
- Parakhnevich, Serge – Fort Lauderdale, FL
- Parisi, Nicholas – New York City
- Pazmino, Joe – New York City
- Perez, David – New York City
- Perres, Michelle – Melville, NY
- Rago, Jonathon – Melville, NY
- Rovner, Sergio – New York, NY
- Rozof, Joseph – Westport, CT
- Sandberg, Michael – Boca Raton, FL
- Sande, Rick – Melville, NY
- Schwartz, James – Garden City, NY
- Seigel, Gerald – Sarasota, FL
- Sharpe, Gerald – Red Bank, NJ
- Sheppard, David – Melville, NY
- Silberg, David – Port Washington, NY
- Silvestri, Rob – Dallas, TX
- Son, Nick – New York City
- Stark, Bruce – Melville, NY
- Steinberg, Sandy – Boca Raton, FL
- Sullivan, Sean – Mellville, NY
- Szempruch, Douglas – Melville, NY
- Tedeschi, Thomas – Farmingdale, NY
- Valdini, Joseph – New York City
- Venturino, Michael – Garden City, NY
- Vincent, Michael – Garden City, NY
- Wolfe, Larry – Boca Raton, FL
Recover Your Investment Losses With Aegis Capital With Rex Securities Law
If you have suffered investment losses in an account handled by a broker or financial advisor who is currently employed by or previously worked for Aegis Capital Corp., contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.