Articles Tagged with Aegis Capital Corp

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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 on January 23, 2025.

Time Frame: 2021 – 2024. Client’s family members allege unsuitable investments

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Time frame: 2015 – present. Claimants allege breach of fiduciary duty, negligence and breach of contract.

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

FINRA BrokerCheck shows a pending customer complaint on September 16, 2024.

Time frame: Unsuitable investments, 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 on October 14, 2024.

Client alleges that he was misled, and the product is unsuitable.

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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 3 disclosable events. These events include 3 customer complaints, 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 on October 17, 2024.

Time frame: Unspecified. 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 Isaac Livni eide (Livni eide), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Livni eide 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 $4,095,000.00 on December 03, 2024.

Time frame: June 2020 – present. Claimant alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rovner (Rovner), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Rovner 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 $4,095,000.00 on December 03, 2024.

June 2020 – present. Claimant alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aret Gugin (Gugin), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gugin 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 $500,000.00 on December 10, 2024.

Time frame: 02/15/2019 to present. Claimant alleges unsuitable investment recommendation, and misrepresentation and omission of material facts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gimeli (Gimeli), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gimeli 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 $17,998.62 on December 09, 2024.

Time frame: July 2024 – November 2024. Client alleges unauthorized trades.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gilbert Kuta (Kuta), currently associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kuta 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 $30,000.00 on January 06, 2025.

Client alleges excessive, unsuitable trading, and poor performance of equity securities in her account.

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