Aegis Capital Corp – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Aegis Capital Corp. If you suffered losses investing with Aegis Capital Corp, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Aegis Capital Corp (CRD# 15007) (SEC# 8-31616)
As of August 24, 2016, Aegis Capital Corp’s FINRA BrokerCheck Report contains the following:
23 Regulatory Event Disclosures
1 Arbitration Disclosures
Main Office Location
810 7TH AVE
18TH & 22ND FLOOR
NEW YORK, NY 10019
Mailing Address
810 7TH AVE
18TH & 22ND FLOOR
NEW YORK, NY 10019
Business Telephone Number
(212) 813-1010
Direct Owners and Executive Officers
AEGIS CAPITAL HOLDING CORP. – HOLDING COMPANY
EIDE, ROBERT JAY (CRD# 1015261) – CEO, SECRETARY, CLO, DIRECTOR
ERICSON, NILS ALEXANDER (CRD# 1022814) – CHIEF COMPLIANCE OFFICER, ROP
HEILPERN, GERALD MARTIN (CRD# 241803) – MUNICIPAL PRINCIPAL
KOTT, GEORGE GREGORY (CRD# 2876578) – CHIEF OPERATING OFFICER
NACCARELLI, ANTONY CARMINE (CRD# 1412706) – AMLCO
POSS, THOMAS CHAMPNEY (CRD# 2547521) – CHIEF FINANCIAL OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Aegis Capital Corp and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
