According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Margaret Laquidara (Laquidara), 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 Laquidara concern allegations of high frequency trading activity…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Johnny Guan (Guan), previously associated with Aegis Capital Corp., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Guan concern allegations of high frequency trading activity…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Hananel (Hananel), previously associated with Aegis Capital Corp., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Hananel recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Fetherston (Fetherston), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Fetherston recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdini (Valdini), previously associated with Aegis Capital Corp., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Valdini recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yann Faho (Faho), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Faho recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Appelbaum (Appelbaum), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Appelbaum recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lapushner (Lapushner), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lapushner 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 Adam Stern (Stern), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 Stephen Giannantonio (Giannantonio), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Giannantonio recommended unsuitable investments in different investment products including debt securities among other allegations…