• Robert Rex, Esq.

Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading
Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading 150 150 Robert Rex, Esq.

July 2016-Melville , New York The FINRA records of Scott N. Hananel ,  a  stock broker currently employed  by Aegis Capital Corp.  , disclose a pending customer dispute and 2 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York
James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Robert Rex, Esq.

April 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…

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  • Robert Rex, Esq.

Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning
Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning 150 150 Robert Rex, Esq.

July 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.…

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  • Robert Rex, Esq.

David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred
David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred 150 150 Robert Rex, Esq.

Melville, 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…

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  • Robert Rex, Esq.

Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute
Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Paul A. Falcon ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL
Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL 150 150 Robert Rex, Esq.

Tampa, Florida JULY 2017 UPDATE– Kenneth L. Jones refused to appear before FINRA for on the record testimony in connection with an investigation of the circumstances related to his termination…

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  • Robert Rex, Esq.

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens
Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens 150 150 Robert Rex, Esq.

July 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…

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  • Robert Rex, Esq.

Nick E. Son-Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging High Pressure Sales Tactics
Nick E. Son-Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging High Pressure Sales Tactics 150 150 Robert Rex, Esq.

New York UPDATE MAY 2017-Nick E. Son discloses a recently filed customer arbitration. In 12/2016 a customer of Aegis Capital alleges damages in an unspecified amount relating to use of…

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  • Robert Rex, Esq.

Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment
Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment 150 150 Robert Rex, Esq.

July 2016-San Diego, CA The FINRA records of Steven P. Capozza ,  a  stock broker employed  by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Stephen L. Swarbrick-Questar Capital Broker-Discloses Customer Complaint Over Oil & Gas Investments-Roseville,CA
Stephen L. Swarbrick-Questar Capital Broker-Discloses Customer Complaint Over Oil & Gas Investments-Roseville,CA 150 150 Robert Rex, Esq.

Roseville, California UPDATE JUNE 2017-In January 2017 a customer of Woodbury Financial and Questar Capital Corp. filed a complaint with the CA Department of Business Oversight alleging unsuitable sales for…

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