Aegis Capital Corp

There are Recent Customer Complaints with Broker Robert Yasnis in Firm Aegis Capital Corp.

March 17, 2026 | by Staff Attorney

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 also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $148,119.20 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

Broker Evan Nadelman in Aegis Capital Corp. Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

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 among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 28, 2021.

Verbal complaint that representative recommended unsuitable investments as well as borrowed money from client that was not disclosed to or approved by the firm.

There are Recent Customer Complaints with Broker Anthony Tricarico in Firm Aegis Capital Corp.

March 9, 2026 | by Staff Attorney

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 among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Time frame: unspecified. Claimants allege unsuitable investments.

There are Recent Customer Complaints with Broker Alvery Bartlett in Firm Aegis Capital Corp.

March 4, 2026 | by Staff Attorney

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 and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on December 23, 2025.

Time frame: March 2021. Claimants allege investment is unsuitable.

Broker Kishan Parikh in Aegis Capital Corp. Firm Has Customer Complaint

February 26, 2026 | by Staff Attorney

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 among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 17, 2021.

Parikh was named a respondent in a FINRA complaint alleging that he made unsuitable recommendations and excessively traded the accounts of his customers. The complaint alleges that Parikh controlled the trading in the customers’ accounts and executed trades with a total principal value of approximately $31.1 million. Parikh’s excessive and unsuitable trading in the customers’ accounts caused combined losses of more than $33,000. At the same time, Parikh’s trading generated gross sales credits and commissions of $179,112, of which Parikh received at least $89,000. The complaint also alleges that Parikh executed trades with a total principal value of approximately $4.2 million in the accounts of customers without their prior authorization.

Broker Jonathan Connolly in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

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 and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $95,027.44 on April 26, 2021.

December 2012 – November 2020. Claimant alleges unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Robert Macnamee in Firm Aegis Capital Corp.

February 20, 2026 | by Staff Attorney

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 and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Michael Farrell in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

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 and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Gerald Sharpe in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

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 and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $283,716.78 on April 26, 2021.

Timeframe: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Joseph Lascala in Firm Aegis Capital Corp.

February 7, 2026 | by Staff Attorney

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 and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on December 03, 2025.

Time frame: November 2019. Claimants allege breach of fiduciary duty.