Aegis Capital Corp

There are Recent Customer Complaints with Broker Christopher Knutson in Firm Aegis Capital Corp.

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Knutson (Knutson), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Knutson 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 $100,000.00 on June 20, 2023.

Client alleges misrepresentation and suitability in connection with an investment purchased in October 2019.

Broker Mark Katz in Aegis Capital Corp. Firm Has Customer Complaint

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Katz (Katz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Katz 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 $358,162.96 on February 20, 2024.

Client alleged transactions in fixed income securities were not authorized and inappropriate that created losses in his accounts in 2023.

Broker Andrew Payne in Aegis Capital Corp. Firm Has Customer Complaint

June 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 20, 2024.

Time Frame: July 16th, 2020 to February 20, 2024\, Allegation Language – The client alleges his financial advisor had shares journaled which were subsequently sold to another account without his authority.

Broker Jerome Messana in Aegis Capital Corp. Firm Has Customer Complaint

May 23, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jerome Messana (Messana), 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 Messana 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 $300,000.00 on July 19, 2024.

From approximately 1/2009 – 10/2021 customer claims suitability, churning, unauthorized trading, failure to supervise, fraud & misrepresentation (Violations of Securities Law), unjust enrichment, lost opportunity damages, punitive damages and unsuitable use of margin. Note that the customer does not specify any trade dates or products so the dates the account was opened was provided along with the general type of securities purchased and sold.

Broker Elliot Sherer in Aegis Capital Corp. Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elliot Sherer (Sherer), currently associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sherer 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 May 23, 2024.

Time Frame: 07/15/2021 – 04/01/2024. Client alleges unsuitable investments.

Broker Guy Clemente in Aegis Capital Corp. Firm Has Customer Complaint

April 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guy Clemente (Clemente), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Clemente 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 $750,000.00 on June 11, 2024.

Breach of Fiduciary Duty, Suitability, Fair Dealing, Excessive Trading, Failure to Supervise, Breach of Contract

There are Recent Customer Complaints with Broker Timothy Jefferson in Firm Aegis Capital Corp.

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Jefferson (Jefferson), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Jefferson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 24, 2024.

Respondent Jefferson failed to respond to FINRA requests for information.

Broker Nicholas Tsikitas in Aegis Capital Corp. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 25, 2024.

Claimants allege unsuitable investments.

Broker William Carlton in Aegis Capital Corp. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Carlton (Carlton), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Carlton 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 $1,033,816.09 on June 28, 2024.

Client alleges the recommendation of unsuitable ETFs from 4/03/2023 to 1/24/2024.

Broker Eyal Farag in Aegis Capital Corp. Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 24, 2024.

Time frame: Unspecified. Claimant alleges unsuitable investments and breach of fiduciary duty