aegis capital complaint Archives

Robert Rex, Esq.
June 29, 2016

Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme

Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 29, 2016 June 29, 2016

June 25, 2016-Philadelphia Former Aegis Capital Corp. stock broker Malcolm Segal, of Langhorne, Pennsylvania, and Boynton Beach, FL, was sentenced to 126 months in prison in connection with a Ponzi…

Robert Rex, Esq.
June 14, 2016

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 14, 2016 April 11, 2024

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records, Sean W.…

Robert Rex, Esq.
June 6, 2016

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

New York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…

Robert Rex, Esq.
May 14, 2016

Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint

Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 14, 2016 May 14, 2016

UPDATE August 2016–Joseph Connolly Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…