Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation (“Daniel O’Neill Aegis Capital Investigation”) into former Aegis Capital broker Daniel J. O’Neill (“Daniel O’Neill”) in light of complaint recently filed by FINRA. In July 2021, FINRA filed a Complaint against Daniel O’Neill relating to excessively and unsuitably trading the account of one of his customers at Aegis Capital. Daniel O’Neill Aegis Capital and the July 2021 FINRA Complaint On July 29, 2021, FINRA filed a complaint against Ex-Aegis Capital broker Daniel O’Neill. The Complaint alleged that Daniel O’Neill excessively and unsuitably traded the account of one of his…

ATTENTION GPB AUTOMOTIVE AEGIS CAPITAL INVESTORS: National Investor Fraud Law Firm Continues to Investigate Claims on Behalf of GPB Capital Investors

ATTENTION GPB AUTOMOTIVE AEGIS CAPITAL INVESTORS: National Investor Fraud Law Firm Continues to Investigate Claims on Behalf of GPB Capital Investors

Did you suffer GPB Capital investment losses? National investor fraud law firm, KlaymanToskes (“KT”), continues to investigate (“GPB Automotive Aegis Capital Investigation”) claims against full-service brokerage firms on behalf of investors who were solicited to purchase millions of dollars of private placement securities in GPB Holdings, LP in the form of notes, including Aegis Capital. GPB Automotive Aegis Capital Investigation GPB Capital sold and marketed non-registered private placement notes through inadequate disclosure of illiquidity, high risks and commissions which made the investments unsuitable for most investors. Among other GPB securities, KlaymanToskes in investigating GPB Automotive Portfolio, LP, which was sold by Aegis Capital. Brokerage firms…

SCOTT HANANEL AEGIS CAPITAL INVESTOR ALERT: Former Melville, NY Broker Facing Customer Disputes on Investment Losses

SCOTT HANANEL AEGIS CAPITAL INVESTOR ALERT: Former Melville, NY Broker Facing Customer Disputes on Investment Losses

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation into former Aegis Capital broker Scott Hananel (“Scott Hananel Aegis Capital Investigation”) in light of recent FINRA customer disputes filed claiming investment losses relating to the former Melville, NY broker. Scott Hananel Aegis Capital Investigation – BrokerCheck According to FINRA BrokerCheck, former Aegis Capital broker Scott Neil Hananel was last registered with Aegis Capital Corporation (Branch Location was Melville, NY) from February 2010 to February 2021. Scott Hananel’s FINRA BrokerCheck shows three pending customer disputes: February 2021. On February 1, 2021, customers filed a FINRA arbitration claim against Scott…

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

National investor fraud law firm, KlaymanToskes (“KT”), has commenced an investigation into former Aegis Capital broker Douglas Szempruch in light of his recent suspension by FINRA. On July 9, 2021, FINRA disclosed that it suspended former Aegis Capital broker Douglas Szempruch relating to him recommending and effecting excessive and unsuitable trading, per a FINRA Letter of Acceptance, Waiver and Consent (AWC), Case # 2017054317401. What is a FINRA AWC? According to FINRA Rule 9216, if FINRA’s Department of Enforcement has reason to believe a member or associated person has committed a violation, and that member or associated person does not…