Articles Tagged with Aegis Capital Corp

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mariani (Mariani), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Mariani 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 February 21, 2025.

Time frame: July 2014 – September 2021. Claimant alleges misrepresentation and unsuitable investment.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on August 29, 2024.

Time frame: Unspecified. Claimant alleges unsuitable investments.

Continue Reading

| by

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 January 08, 2025.

Time frame: Unspecified. Claimants allege unsuitable investments.

Continue Reading

| by

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

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading
Contact Information
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
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design