Israels & Neuman, PLC Investigates James Mariani, Formerly of National Securities Corp. and Now with Aegis Capital

 

MINEOLA, NEW YORK — Have you lost money with financial advisor James J. Mariani, formerly of National Securities Corp. and now with Aegis Capital in Mineola, New York?  We are looking into allegations made against James Mariani, who has been the subject of five customer complaints, one of which was filed in 2021.  The recent complaint alleges that Mariani sold unsuitable alternative investments like private placements.  The customer did not specify how much losses arose from the private placements.

James Mariani was with National Securities Corp. from 2007 to September 2017.  He has been with Aegis Capital from September 2017 to the present.   He has worked at branch offices in Mineola, New York.  Mariani also was suspended by FINRA for one month in 2005 regarding allegations involving mutual funds.

Brokerage firms like National Securities Corp. and Aegis Capital have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against National Securities Corp..

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If you lost money with James Mariani, National Securities Corp., or Aegis Capital, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.