Aegis Capital Corp

Broker Hector Crespo in Aegis Capital Corp. Firm Has Customer Complaint

April 2, 2025 | by Staff Attorney

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.

Broker John Cutrone in Aegis Capital Corp. Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

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.

Broker Thomas Kelly in Aegis Capital Corp. Firm Has Customer Complaint

March 29, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Gerald Seigel in Firm Aegis Capital Corp.

March 28, 2025 | by Staff Attorney

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.

Broker Joseph Giordano in Aegis Capital Corp. / Acceptus Capital Corp. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 06, 2024.

The New York State Department of Financial Services alleges the Respondent provided materially incomplete information within the meaning of Section 2110(a)(2) of the Insurance Law in six of the Respondent’s renewal applications for an agent’s license pursuant to Section 2103(a) of the Insurance Law, submitted to the Department on April 7, 2011, March 13, 2013, March 3, 2015, March 9, 2017, November 15, 2018, and March 4, 2021, respectively, in that in each application the Respondent failed to disclose that on or about October 10, 2007, Respondent was assessed a fine by the Financial Industry Regulatory Authority.

There are Recent Customer Complaints with Broker Alain Ohayon in Firm Aegis Capital Corp.

March 19, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Marc Jacobson in Firm Aegis Capital Corp.

March 12, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Thomas Duggan in Firm Aegis Capital Corp.

March 10, 2025 | by Staff Attorney

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.

Broker Isaac Livni eide in Aegis Capital Corp. Firm Has Customer Complaint

February 23, 2025 | by Staff Attorney

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.

Broker Sergio Rovner in Aegis Capital Corp. Firm Has Customer Complaint

February 23, 2025 | by Staff Attorney

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.