According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Perres (Perres), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Perres 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 Marinos Ballas (Ballas), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Ballas 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 M Schreiber (Schreiber), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Schreiber 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…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Notrica (Notrica), currently 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 Notrica concern allegations of high frequency trading activity…
Previously financial advisor Alvery Bartlett (Bartlett), previously employed by brokerage firm Aegis Capital Corp. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Surage Perera (Perera), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Perera 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 Marc Jacobson (Jacobson), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Jacobson 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 Salvatore Gambino (Gambino), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Gambino 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 Silvestri (Silvestri), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Silvestri recommended unsuitable investments in different investment products including debt securities among other allegations…