Aegis Capital Corp

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.

Broker Aret Gugin in Aegis Capital Corp. Firm Has Customer Complaint

February 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aret Gugin (Gugin), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gugin 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 $500,000.00 on December 10, 2024.

Time frame: 02/15/2019 to present. Claimant alleges unsuitable investment recommendation, and misrepresentation and omission of material facts.

Broker Michael Gimeli in Aegis Capital Corp. Firm Has Customer Complaint

February 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gimeli (Gimeli), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Gimeli 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 $17,998.62 on December 09, 2024.

Time frame: July 2024 – November 2024. Client alleges unauthorized trades.

There are Recent Customer Complaints with Broker Gilbert Kuta in Firm Aegis Capital Corp.

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gilbert Kuta (Kuta), currently associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kuta 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 $30,000.00 on January 06, 2025.

Client alleges excessive, unsuitable trading, and poor performance of equity securities in her account.

There are Recent Customer Complaints with Broker Jordan Hurwitz in Firm Aegis Capital Corp.

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Hurwitz (Hurwitz), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Hurwitz 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. Claimant alleges unsuitable investments

There are Recent Customer Complaints with Broker Alvery Bartlett in Firm Aegis Capital Corp.

February 16, 2025 | by Staff Attorney

Previously financial advisor Alvery Bartlett (Bartlett), previously employed by brokerage firm Aegis Capital Corp. has been subject to at least 4 disclosable events. These events include 3 customer complaints, one tax lien. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on January 13, 2025.

The claimants allege that the Firm and representative failed to make a suitable recommendation and over-concentrated claimants account in alternative investments and private placements from 2010-2016 . The claimants further allege that the Firm and representative misrepresented the investments and induced the claimant to retain the investment and caused them to suffer a loss.

There are Recent Customer Complaints with Broker James Mariani in Firm Aegis Capital Corp.

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mariani (Mariani), previously associated with Aegis Capital Corp., has at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory, alleging that Mariani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 03, 2025.

Respondent Mariani failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Michael Fasciglione in Firm Aegis Capital Corp.

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Fasciglione (Fasciglione), previously associated with Aegis Capital Corp., has at least 10 disclosable events. These events include 7 customer complaints, 3 regulatory, alleging that Fasciglione recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 03, 2025.

Respondent Fasciglione failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Frank Giacalone in Aegis Capital Corp. Firm Has Customer Complaint

February 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Giacalone (Giacalone), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Giacalone 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 $39,668.33 on May 01, 2024.

Time frame: August 2018 – April 2021. Client alleges unsuitable recommendations and investments.