Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Principe (Principe), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Principe 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 May 18, 2020.
Time Frame: 2013-2015. Allegations include unsuitable use of margin and poor performance.