According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Yasnis (Yasnis), previously associated with Aegis Capital Corp., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Yasnis concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Nadelman (Nadelman), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Nadelman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Tricarico (Tricarico), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Tricarico recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alvery Bartlett (Bartlett), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kishan Parikh (Parikh), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Parikh recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Connolly (Connolly), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Connolly recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Macnamee (Macnamee), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Macnamee recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrell recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Sharpe (Sharpe), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Sharpe recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lascala (Lascala), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lascala recommended unsuitable investments in different investment products including debt securities among other allegations…