Securities Lawyers Blog
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.
