Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…
read moreAegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…
read moreDaniel 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…
read moreDouglas 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…
read moreSeptember 2021 -Garden City , New York According to publicly available records Mark Sam Kolta , a stockbroker who formerly worked for National Securities Corp. and who is currently registered with Worden Capital Management, disclose…
read moreJuly 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…
read moreNovember 2020- Red Bank, NJ According to publicly available records Johnny Guan (CRD#5711977), a stockbroker employed with Aegis Capital discloses two settled customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreSeptember 2019, Melville, NY According to publicly available records Robert Paul Solow (CRD# 4532161) , a stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…
read moreJanuary 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…
read more