Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Gergatsoulis (Gergatsoulis), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gergatsoulis 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 $35,494.29 on October 14, 2022.
Breach of fiduciary duty, unsuitable investment strategy and recommendation