August 2016-New York The FINRA records of David Perez , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final customer dispute and 5 outstanding judgment/liens. The…
read moreNew York UPDATE MAY 2017-FINRA Case 13-3289 alleging churning, unsuitable use of margin and poor recommendations was settled for $390,000. ORIGINAL POST August 2016– The FINRA records of Joe M. Pazmino , a stock…
read moreApril 2019-Garden City, New York The FINRA records of James B. Schwartz , a former stock broker who worked for Aegis Capital from 8/2013-6/2016 and was last employed by Joseph Gunnar & Co. , disclose that…
read moreJuly 2016-Melville, New York The FINRA records of Bruce A. Stark , a stock broker currently employed by Aegis Capital Corp. , disclose 2 pending customer disputes, a prior final customer dispute and 1 currently outstanding judgment/liens.…
read moreMelville, New York UPDATE JUNE 2018-In 1/2018 a customer of Aegis Capital Corp. from Rhode Island filed FINRA arbitration 17-2867 alleging that Sheppard made unsuitable recommendations, traded the account excessively…
read moreJuly 2016-Melville, New York The FINRA records of Daniel J. O’Neill , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…
read moreJuly 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis , a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose 2 prior regulatory events, 4 prior finalized customer disputes and 2…
read moreJuly 2016-New York The FINRA records of Michael S. Lavolpe , a currently unlicensed stockbroker who was most recently employed by Meyers Associates , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…
read moreJuly 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn , a currently unlicensed stockbroker who was most recently employed by Hornor, Townsend & Kent , disclose a pending regulatory event, 2 prior regulatory events and…
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