June 2018-Melville, New York
The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA Case 17-2321 a customer of Aegis Capital residing in Florida alleged that from 12/2012-7/2017 Diorio engaged in unsuitable investment strategy involving real estate securities and alternative investments. The case was settled in 5/2018 for $837,500.
In currently pending FINRA Case 18-408 a customer of Aegis Capital alleges that Diorio made unsuitable investment recommendations and traded the account without authority. The customer is seeking damages of $769,690.
Dominick has been employed by Aegis Capital since 7/2011.
If you have questions about an account handled by Dominick Diorio, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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