Articles Tagged with Aegis Capital Corp

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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 pending customer complaint with a damage request of $100,000.00 on June 02, 2025.

Time frame: 2015 – present. Claimant alleges unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Duggan (Duggan), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Duggan 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 $360,000.00 on May 29, 2025.

Time frame: 2018. Claimant alleges unsuitable investment, breach of fiduciary duty, misrepresentation, 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 on June 26, 2025.

Time frame: May 2023. Client alleges poor recommendation, poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kelly (Kelly), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $840,000.00 on May 28, 2025.

The client, through legal counsel, alleges that the investments recommended were unsuitable.

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

FINRA BrokerCheck shows a final customer complaint on May 28, 2025.

Without admitting or denying the findings, Court consented to the sanction and to the entry of findings that he exercised discretion without written authorization in connection with trades in 10 customers’ accounts. The findings stated that although the customers understood that Court was placing trades in their accounts, none had given him prior written authorization to exercise discretion in their accounts and Court’s member firm did not accept any of the customers’ accounts as discretionary.

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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.

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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.

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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.

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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.

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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.

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