Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Silvestri (Silvestri), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Silvestri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 21, 2023.
Without admitting or denying the findings, Silvestri consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection to its investigation into whether he borrowed funds from a customer.