Articles Tagged with Aegis Capital Corp

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Davidson (Davidson), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Davidson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on September 26, 2025.

Time frame: January 2019 – 2023. Claimant alleges breach of fiduciary duty and breach of contract.

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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 and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on September 24, 2025.

Plaintiff alleges the representative did not follow instructions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fasciglione (Fasciglione), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Fasciglione recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 25, 2025.

Time frame: Unspecified. The claimant alleges that the investment product was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Liu (Liu), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Liu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 08, 2022.

Claimant alleges unsuitable investment recommendation and breach of fiduciary duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Gergatsoulis (Gergatsoulis), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gergatsoulis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $35,494.29 on October 14, 2022.

Breach of fiduciary duty, unsuitable investment strategy and recommendation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Cutrone (Cutrone), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Cutrone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Herrera (Herrera), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Herrera recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Polak (Polak), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Polak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customer alleges breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customer’s investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dieter Huber (Huber), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Huber recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

Time frame: Unspecified. Customer alleges breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customer’s investments.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dominick Diorio (Diorio), 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 Diorio  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint with a damage request of $62,468.00 on December 15, 2022.

Time frame: December 2012 – June 2022. Claimant alleges suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, omission of material facts

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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