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Aegis Capital Financial Advisor, James Mariani, Has Seven Customer Complaints, Including One Pending Complaint

James Mariani (CRD # 2932631) is a Financial Advisor at Aegis Capital In Bayside, NY.  James Mariani has been in the securities industry since 1998 and previously worked at National Securities Corp. and First Montauk Securities. 

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), James Mariani has seven customer complaints disclosed on his CRD, alleging sales practice violations.  Among the customer complaints include the following:

  • December 2018—Customer alleged “sutability and breach of fiduciary duty.”  Alleged damages are $467,000 and the matter remains pending. 
  • April 2018—Customer alleged “unsuitability, breach of fiduciary duty, negligence.”  The matter was settled for $135,000.
  • April 2009—Customer alleged “fraud, breach of contract, excessive trading, unsuitability, and negligence.”  The matter was settled for $150,000.
  • December 2008—Customer alleged “fraud and deceit, breach of fiduciary duty, breach of contract and negligence in connection with a 1031 tax exchange investment.”  The matter was settled for $15,000. 

In addition, James Mariani has been the subject of a regulatory sanction.  In 2002, FINRA (formerly the NASD) suspended him for 30 days for recommending transactions “he did not have reasonable grounds for believing…were suitable for the customer…” 

For a copy of James Mariani’s CRD, click https://brokercheck.finra.org/individual/summary/2932631#disclosuresSection

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.  

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.

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