Category: Aegis Capital Corp

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 […]

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 […]

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 […]

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 […]

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 […]

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 & […]

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 […]

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 […]

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, […]

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 […]