FINRA Allegations Against Dennis Herrera FINRA has brought a regulatory action against Dennis Herrera of Aegis Capital in Miami, Florida, alleging that he violated Regulation Best Interest (Reg BI) by excessively trading or churning two customers’ accounts. If you lost money investing with Herrera, you may have legal options to recover your losses. The securities…
Continue reading ›Rick Davidson, Formerly of National Securities Corp., Aegis Capital, and Morgan Stanley NEW YORK, NY The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Rick Davidson of New York City. Rick Davidson has been the subject of 12 customer complaints, including 6 complaints that have been filed…
Continue reading ›Surage Perera, formerly with the Aegis Capital Corp., Indicted MELVILLE, NEW YORK Have you lost money with financial advisor Surage Roshan Perera of Queens, New York? Surage Perera was previously affiliated with a brokerage firm called Aegis Capital Corp., from April 2018 to September 2022. He worked in a Melville, New York office but lived…
Continue reading ›MELVILLE, NY Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts.…
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Have you lost money investing in variable annuities through Aegis Capital? We are currently investigating allegations made against Aegis Capital, a New York, New York-based securities brokerage firm. FINRA brought a regulatory action against the firm, alleging that its Melville, New York and Wall Street offices failed to adequately supervise advisors who were excessively trading…
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