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Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers


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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp. Broker Gerald Sharpe
Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp. Broker Gerald Sharpe 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Red Bank, NJ) Gerald Sharpe, Jr. Investigation Summary Here’s what you need to know about Red Bank, New Jersey, stockbroker Gerry Sharpe: Name: Mr. Gerald Richard…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp. Broker Dieter Huber
Rex Securities Law Investment Fraud Attorney Investigates Aegis Capital Corp. Broker Dieter Huber 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Red Bank, NJ) Dieter Huber Investigation Summary Here’s what you need to know about Red Bank, NJ, stockbroker Dieter H. Huber, Jr. : Name: Mr. Dieter…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Bryan Lubitz formerly with Aegis Capital Corp.
Rex Securities Law Investment Fraud Attorney Investigates Bryan Lubitz formerly with Aegis Capital Corp. 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Melville, NY) Bryan Lubitz Investigation Summary Here’s what you need to know about Melville, NY,  stockbroker Bryan Lubitz: Name: Mr. Bryan P. Lubitz Current Employer: Equitable…

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  • ER

Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL
Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL 150 150 ER

Robert Melberth Investigation   March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth,  a broker employed by Emerson Equity,  discloses multiple customer disputes seeking more than $12 million in damages.…

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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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  • ER

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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  • ER

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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