Securities Lawyers Blog
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