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Category: Aegis Capital Corp

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FINRA Suspends Financial Advisor Teresa Douberly

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, […]

Financial Advisor M.B. Schreiber Suspended by FINRA

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 […]

Financial Advisor Arkady Ginsburg (Aegis Capital Corp.) Customer Complaints

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 […]

Financial Advisor Joseph LaScala, Jr. (Aegis Capital Corp.) Customer Complaints

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 […]

Financial Advisor Johnny Guan (Aegis Capital Corp.) 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 […]

Financial Advisor Joseph Giordano (Acceptus Capital Corp.) Customer Complaints

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 & […]

Financial Advisor Daniel O’Neill (Aegis Capital Corp.) Customer Complaints

Daniel O’Neill (CRD#: 1358245) is a previously registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 1985 and previously worked for Ladenburg Thalmann & Co.; Maxim Group, LLC; Wachovia Securities, LLC; Oppenheimer & Co., Inc.; First Montauk Securities Corp.; Janney Montgomery Scott, LLC; First Albany Corporation; Prime Charter LTD; […]

Financial Advisor Gilbert Kuta (Aegis Capital Corp.) Customer Complaints

Gilbert Kuta (CRD#: 1084075) is a registered Broker at Aegis Capital Corp. in Timonium, MD. He entered the securities industry in 1982 and previously worked for Capitol Securities Management, Inc.; RBC Capital Markets Corporation; Ferris, Baker Watts, LLC; Smith Barney Shearson, Inc.; Lehman Brothers, Inc.; Painewebber Incorporated; A.G. Edwards & Sons, Inc.; Laidlaw Ansbacher Incorporated; […]

Financial Advisor Yann Faho (Aegis Capital Corp.) Customer Complaints

Yann Faho (CRD#: 5397543), also known as Jann Faho and John Faho, is a registered Broker at Aegis Capital Corp. in New York, NY. He entered the securities industry in 2008 and previously worked for Spartan Capital Securities, LLC; Olympia Asset Management, LTD.; National Securities Corporation; PHD Capital; John Thomas Financial; and Mercer Capital LTD. […]

Financial Advisor Kishan Parikh (Aegis Capital Corp.) Customer Complaints

Kishan Parikh (CRD#: 5506554), also known as Sean Parikh, was a previously registered Broker at Aegis Capital Corp. in New York, NY. He entered the securities industry in 2008 and previously worked for Max International Broker/Dealer Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA initiated […]