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Category: Aegis Capital Corp

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FINRA Suspends Former Aegis Capital Broker Scott Hananel For Alleged Excessive Trading

Scott Hananel (CRD#: 3080827) is a previously registered Broker. Broker’s Background He entered the securities industry in 1999 and previously worked for Aegis Capital Corp.; Gunallen Financial, Inc.; Milestone Group Management, LC; Salomon Grey Financial Management Corp.; and Royal Hutton Securities. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available […]

Former Aegis Capital Corp. Broker Douglas Szempruch Suspended by FINRA

Douglas Szempruch (CRD#: 4159318) is a previously registered Broker with Aegis Capital Corp. Broker’s Background He entered the securities industry in 2000 and previously worked for Aegis Capital Corp.; Global Arena Capital Corp.; Prestige Financial Center, Inc; S.W. Bach & Co.; Harrison Securities, Inc.; and Weatherly Securities Corporation. Current And Past Allegations Of Conduct Leading […]

FINRA Suspended Joseph LaScala Jr. For Alleged Excessive Trading

Joseph LaScala, Jr. (CRD#: 3070261) is a dually registered Broker and Investment Advisor at Aegis Capital Corp. in Melville, NY. Broker’s Background He entered the securities industry in 1998 and previously worked for Paulson Investment Company, Inc.; Gunnallen Financial, Inc.; Investec Ernst & Company; and Royce Investment Group, Inc. Current And Past Allegations Of Conduct […]

Aegis Capital Corp. Broker Johnny Guan Has Four Customer Complaints

Johnny Guan (CRD#: 5711977) is a registered Broker at Aegis Capital Corp. in Red Bank, NJ. Broker’s Background He entered the securities industry in 2009 and previously worked for National Securities Corporation and Newbridge Securities Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Former Aegis Broker Joseph Giordano Suspended After Allegations He Permitted Excessive and Unsuitable Trading

Joseph Giordano (CRD#: 2278341) is a registered Broker at Acceptus Capital Corp. in Port Washington, NY. Broker’s Background He entered the securities industry in 1993 and previously worked for Gunnallen Financial, Inc.; LH Ross & Company, Inc.; Citigroup Global Markets, Inc.; Lumiere Securities, Inc.; Taj Global Equities, Inc.; Sovereign Equity Management Corp.; A.T. Brod & […]

Complaint Pending Against Former Aegis Capital Broker Robert Buffington Alleging Investment Loss

Robert Buffington (CRD#: 5220332) is a previously registered Broker. Broker’s Background He entered the securities industry in 2007 and previously worked for Aegis Capital Corp.; Gunnallen Financial, Inc.; Maxim Group, LLC; and Bear, Stearns & Co., Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Aegis Capital Corp. Sanctioned by FINRA After Allegations of Insufficient Supervisory Procedures; Ordered to Pay Back Investors After Investment Loss

In November 2021, a Letter of Acceptance, Waiver, and Consent was submitted by Aegis Capital Corp. to resolve allegations made against it by the Department of Enforcement, FINRA (Financial Industry Regulatory Authority). Aegis Capital Corp. is based in NY and employs hundreds of financial advisors across roughly two dozen offices. More than 50% of company […]

Previously Registered Broker Scott Hananel Has Six Customer Complaint Disclosures

Scott Hananel (CRD#: 3080827) is a previously registered Broker. He entered the securities industry in 1999 and previously worked for Aegis Capital Corp.; Gunnallen Financial, Inc.; Milestone Group Management, LLC; Salomon Grey Financial Corporation; and Royal Hutton Securities Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February 2021, […]

Aegis Capital Corp. Financial Advisor Scott Hananel Has Six Customer Complaint Disclosures

Scott Hananel (CRD#: 3080827) is a previously registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 1999 and previously worked for Gunnallen Financial, Inc.; Milestone Group Management, LLC; Salomon Grey Financial Corporation; and Royal Hutton Securities Corp. According to publicly available records released by the Financial Industry Regulatory Authority […]