Category: Aegis Capital Corp

Dennis Daniel Herrera (CRD#: 4618370) was a previously registered broker. Broker’s History He entered the securities industry in 2003 and previously worked with J.P Turner & Company, LLC; Park Capital Securities, LLC (FINRA expelled the firm in 2005); Hunter Scott Financial LLC (FINRA expelled the firm in 2014); Mercer Capital Ltd.; John Thomas Financial (FINRA […]

Brian Kenneth Court (CRD#: 2591547) was a previously registered broker. Broker’s History He entered the securities industry in 1995 and previously worked with Royce Investment Group, Inc.; Investec Ernst & Company; Gunnallen Financial, Inc.; J.P Turner & Company, LLC; and Aegis Capital Corp. Brian Court According to publicly available records released by the Financial Industry […]

William Randall Moening (CRD#: 3029155) is a registered investment advisor with Aegis Capital Corp in Austin, TX. Broker’s History He entered the securities industry in 1998 and previously worked with Banc of America Investment Services, Inc.; Wells Fargo Cleaning Services, LLC; and RBC Capital Markets, LLC. Current and Past Allegations of Conduct Leading to Investment […]

Guy Gregory Clemente (CRD#: 1222597) is a registered broker and investment advisor with Aegis Capital Corp., in New York, NY. Broker’s Background He entered the securities industry in 1984 and previously worked with Rauscher Pierce Refsnes, Inc.; Lehman Brothers Inc.; Smith Barney Inc.; Commonwealth Associates; The J.B Sutton Group, Inc.; Sands Brothers & Co., LTD.; […]

The Wolper Law Firm has filed a FINRA arbitration claim against Citigroup Global Markets, Inc. (Citigroup) arising from the sale of  Structured Notes.  The Financial Advisor responsible for the recommendations is Keith Dagostino (CRD #2837860).   Broker’s Background     Keith Dagostino was registered with Aegis Capital Corp. as a Financial Advisor from 2014-2023.  He […]

Gary Steven Costello (CRD#:6117388) is a registered broker and investment advisor for Aegis Capital Corp. in Boca Raton, FL   Broker’s Background He entered the securities industry in 2016 and previously worked for Truist Advisory Services, Inc; Oppenheimer & Co. Inc.; Morgan Stanley; and Park Avenue Securities, LLC.   Current and Past Allegations of Conduct […]

Surage Roshan Perera (CRD#: 4716321) is a previously registered Broker. Broker’s Background He entered the securities industry in 2003 and previously worked for Aegis Capital Corp.; Maxim Group, LLC; Stockkings Capital, LLC; Caldwell International Securities; Global Arena Capital Corp.; Prestige Financial Center, Inc.; Sloan Securities Corp.; Aura Financial Services, Inc.; Andrew Garrett, Inc.; LH Ross […]

Teresa Douberly (CRD#: 2477566) was previously registered as a Broker and Investment Advisor. Broker’s Background She entered the securities industry in 1994 and previously worked for Sagepoint Financial, Inc.; Aegis Capital Corp.; MetLife Securities, Inc.; VFinance Investments, Inc.; Commonwealth Financial Network; Hunter Scott Financial, LLC; Royal Alliance Associates, Inc.; Morgan Stanley DW, Inc.; JWGenesis Securities, […]

M.B. Schreiber (CRD#: 103260) is a registered Broker at Aegis Capital Corp. in Red Bank, NJ. Broker’s Background He entered the securities industry in 1982 and previously worked for National Securities Corporation; Newbridge Securities Corporation; Summit Brokerage Services, Inc.; First Montauk Securities Corp.; The Concord Equity Group, LLC; and Mid-State Securities Corp. Current And Past […]

Arkady Ginsburg (CRD#: 5256747) is a registered Broker at Aegis Capital Corp. in New York, NY. Broker’s Background He entered the securities industry in 2006 and previously worked for Rockwell Securities, LLC; and S. W. Bach & Co. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]