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Category: Aegis Capital Corp

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FINRA Enforcement Action Pending Against Aegis Capital Corp. Broker Daniel O’Neill After Allegations of Unauthorized Trading

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; […]

Aegis Capital Corp Broker Gilbert Kuta Suspended After Allegations of Exercising Discretion Without Authorization

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; […]

Aegis Broker, Yann Faho, Has Two Customer Complaint Disclosures, Alleging Sales Practice Misconduct

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. […]

FINRA Filed An Enforcement Proceeding Against Against Aegis Capital Corp. Broker Kishan Parikh After Allegations of Excessive and Unsuitable Trading

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 […]

Aegis Capital Broker Douglas Szempruch Suspended by FINRA After Allegations of Unsuitability

Douglas Szempruch (CRD#: 4159318) was a previously registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 2000 and previously worked for Global Capital Corp.; Prestige Financial Center, Inc.; S.W. Bach & Co., Harrison Securities, Inc.; and Weatherly Securities Corp . According to publicly available records released by the Financial […]

Aegis Capital Corp. Registered Broker Corey Alexander Johnson Suspended by FINRA After Allegations of Exercising Discretion Without Authorization

Corey Alexander Johnson (CRD#: 5752206) is a registered Broker at Aegis Capital Corp. in Melville, NY. He entered the securities industry in 2010 and previously worked for Global Arena Capital Corp. and Prestige Financial Center, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2021, FINRA sanctioned Corey […]

Former Aegis Capital Corp. Investment Advisor Anthony Tricarico Suspended and Fined

Anthony Tricarico (CRD#: 1047416) was an Investment Advisor working for Aegis Capital Corp. He entered the securities industry in 1982. Anthony Tricarico previously worked for Gunnallen Financial, Inc.; The Concord Equity Group, LLC; Fahnestock & Co., Inc.; Josephthal & Co., Inc.; Robb Peck McCooey Clearing Corporation; Oscar Gruss & Son, Inc.; Shamus Group, Inc.; Investors […]

Former Aegis Capital Corp. Investment Advisor Steven Luftschein Permanently Barred for Alleged Excessive and Unauthorized Trading

Steven Luftschein (CRD No. 2690117), was an investment advisor employed by broker-dealer Aegis Capital Corp. from June 2013 to October 2016. He later worked for Joseph Stone Capital LLC from May 16, 2017, until May 21, 2018. He was also known as Steven Lerner. According to publicly available records released by the Financial Industry Regulatory […]

Former Registered Aegis Capital Corp. Broker, Robert Buffington, Has Had Four Customer Complaint Disclosures Since February 2018

Robert Buffington (CRD # 5220332) was a Financial Advisor at Aegis Capital Corp. in New York, NY. Robert Buffington was in the securities industry from May 2007 to October 2019 and previously worked at Gunnallen Financial, INC, Maxim Group LLC, and Bear, Stearns & Co. Inc. According to publicly available records released by the Financial […]

Aegis Capital Corp. Financial Advisor, Thomas Kelly, Jr., Has Had Fifteen Disclosed Customer Complaints During His Career

Thomas Edison Kelly, Jr. (CRD #2877415) was a Financial Advisor at Aegis Capital Corp. in New York, NY. Thomas Kelly has been in the securities industry since 1997 and previously worked at First Republic Group. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Thomas Kelly has been the subject of […]