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Category: Aegis Capital Corp

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INVESTOR ALERT—Aegis Capital Corp. Financial Advisor, Paul Falcon, Has Six Customer Complaints, Including One Pending Complaint

Paul Falcon is a Financial Advisor at Aegis Capital in its Boca Raton, FL branch office.  Paul Falcon has been in the securities industry since 1994 and previously worked at Global Strategic Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Paul Falcon has six (6) customer complaints disclosed on […]

Aegis Capital Broker, Harold Weber, Has Had Four Customer Complaints Since 2016, Including One Pending Complaint

The Wolper Law Firm is currently investigating claims against Harold Weber, a Financial Advisor at Aegis Capital in New York, NY.  Harold Weber has been in the securities industry since the 1980s and previously worked Wells Fargo.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Harold Weber has had […]

Aegis Capital Broker, Pedro Rodriguez, Has Two Pending Customer Complaints Alleging Unsuitable Investment Recommendations

The Wolper Law Firm is currently investigating claims against Pedro Rodriguez, a Financial Advisor at Aegis Capital in Miami, Florida.  Pedro Rodriguez has been in the securities industry since 2007 and previously worked Oriental Financial Services.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Pedro Rodriguez has two pending […]

Aegis Capital Financial Advisor, James Mariani, Has Pending Customer Complaint For Breach Of Fiduciary Duty

The Wolper Law Firm is currently investigating claims against James Mariani, a Financial Advisor at Aegis Capital in Bayside, New York.  James Mariani has been in the securities industry since 1998 and worked at National Securities Corp. until September 2017. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April […]

Aegis Capital Financial Advisor, Damian Mamane, Has $600,000 Complaint For Unauthorized Trading

The Wolper Law Firm is currently investigating claims against Damian Mamane, a Financial Advisor at Aegis Capital in Boca Raton, FL.  Damian Mamane has been in the securities industry since the 2001 and previously worked for Gunallen Financial According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Damian Mamane has a […]

Aegis Capital Financial Advisor, Dominic Diorio, Has A Pending Complaint For $837,500

The Wolper Law Firm is currently investigating claims against Dominic Diorio, a Financial Advisor at Aegis Capital in Melville, NY.  Aegis Capital first entered the securities industry in 1996 and previously worked for several brokerage firms that have since been expelled by Financial Industry Regulatory Authority (FINRA), including Global Arena Capital Corp., Prestige Financial Center […]