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Aegis Capital Corp. Fraud and/or Investment Loss Customer Complaint Disclosures

Aegis Capital Corp.:(CRD# 15007/SEC#: 801-71386, 8-31616)

The firm is headquartered in New York. It was founded in 1984 by Robert “Bob” Eide the current CEO and Chairman, who currently owns 75 percent or more of the company. Aegis Capital Corp is the parent company of:

  • Gotham Equities
  • Lifetech Capital
  • Nuday Capital LLC
  • Sternaegis Ventures

The firm currently holds 53 licenses for U.S. States and Territories and conducts over 55 billion dollars in capital market transactions with the assistance of over 400 financial professionals.

Aegis Capital Financial Advisor, Alan Appelbaum, Has Eleven Customer Complaints And Three Disclosued Regulatory Events

By mwolper | Apr 20, 2019

Alan Appelbaum is a former Financial Advisor at Aegis Capitalk Corp. in Boca Raton, FL.  Alan Appelbaum has been in the securities industry since 1976 and previously worked at Herbert J. Sims & Co. and Ryan Beck & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Alan Appelbaum has […] Read More →

INVESTOR ALERT—Aegis Capital Corp. Financial Advisor, Michael Fasciglione, Has Thirteen Customer Complaints, And Two Regulatory Disclosures

By mwolper | Mar 11, 2019

Michael Fasciglione is a Financial Advisor at Aegis Capital in its Bayside, NY branch office.  Michael Fasciglione has been in the securities industry since 1988 and previously worked at National Securities Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Paul Falcon has thirteen (13) customer complaints disclosed on his […] Read More →

INVESTOR ALERT—Aegis Capital Corp. Financial Advisor, Paul Falcon, Has Six Customer Complaints, Including One Pending Complaint

By mwolper | Mar 1, 2019

Paul Falcon is a Financial Advisor at Aegis Capital in its Boca Raton, FL branch office.  Paul Falcon has been in the securities industry since 1994 and previously worked at Global Strategic Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Paul Falcon has six (6) customer complaints disclosed on […] Read More →

Aegis Capital Broker, Harold Weber, Has Had Four Customer Complaints Since 2016, Including One Pending Complaint

By mwolper | Dec 30, 2018

The Wolper Law Firm is currently investigating claims against Harold Weber, a Financial Advisor at Aegis Capital in New York, NY.  Harold Weber has been in the securities industry since the 1980s and previously worked Wells Fargo.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Harold Weber has had […] Read More →

Aegis Capital Broker, Pedro Rodriguez, Has Two Pending Customer Complaints Alleging Unsuitable Investment Recommendations

By mwolper | Dec 30, 2018

The Wolper Law Firm is currently investigating claims against Pedro Rodriguez, a Financial Advisor at Aegis Capital in Miami, Florida.  Pedro Rodriguez has been in the securities industry since 2007 and previously worked Oriental Financial Services.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Pedro Rodriguez has two pending […] Read More →

Aegis Capital Financial Advisor, James Mariani, Has Pending Customer Complaint For Breach Of Fiduciary Duty

By mwolper | Aug 15, 2018

The Wolper Law Firm is currently investigating claims against James Mariani, a Financial Advisor at Aegis Capital in Bayside, New York.  James Mariani has been in the securities industry since 1998 and worked at National Securities Corp. until September 2017. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April […] Read More →

Aegis Capital Financial Advisor, Damian Mamane, Has $600,000 Complaint For Unauthorized Trading

By mwolper | Jul 31, 2018

The Wolper Law Firm is currently investigating claims against Damian Mamane, a Financial Advisor at Aegis Capital in Boca Raton, FL.  Damian Mamane has been in the securities industry since the 2001 and previously worked for Gunallen Financial According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Damian Mamane has a […] Read More →

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]