• Robert Rex, Esq.

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 Robert Rex, Esq.

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 Rex, Esq.

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Robert Rex, Esq.

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

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  • ER

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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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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  • Robert Rex, Esq.

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY
Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY 150 150 Robert Rex, Esq.

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,…

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  • Robert Rex, Esq.

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers
Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Robert Rex, Esq.

Aegis 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…

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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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  • Robert Rex, Esq.

Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ
Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

November 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…

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  • Robert Rex, Esq.

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY
Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY 150 150 Robert Rex, Esq.

September 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.…

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