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UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

Tag Archives: Aegis Capital Corp.

16
Apr

UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

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UPDATE!  JAMES SCHWARTZ of Aegis Capital is BARRED

Have you lost money with financial advisor James B. Schwartz in New York?    We are continuing to look into allegations made about James Bradley Schwartz from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Schwartz from the securities industry.   FINRA previously brought a complaint against Schwartz in February 2019.  FINRA was ...

27
Feb

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

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Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

Have you lost money with financial advisor James Schwartz of Aegis Capital Corp.?   We are investigating allegations made about James Bradley Schwartz of Melville, New York.  FINRA (the Financial Industry Regulatory Authority) seeks to bar Schwartz from the securities industry.  FINRA was investigating James Schwartz, a broker who previously worked with Aegis Capital Corp., ...

28
Jul

Investor Alert! KENNETH JONES – New York, NY

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Investor Alert!  KENNETH JONES – New York, NY

Kenneth L. Jones, formerly of Aegis Capital Corp., Barred from Securities Industry   Have you lost money with financial advisor Kenneth Jones of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kenneth L. Jones. FINRA barred Jones from the securities industry after he failed to respond ...

04
Nov

INVESTOR WARNING! MARIA FAN of NEW YORK, NY

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INVESTOR WARNING!  MARIA FAN of NEW YORK, NY

WARNING!  Maria Fan from New York, New York   Have you lost money with financial advisor Maria Fan of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Maria Fan. FINRA suspended Fan for 60 days regarding allegations that she made exaggerated claims to a customer about ...

27
Jun

UPDATE! Malcolm Segal Sentenced to 126 Months in Prison

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UPDATE!  Malcolm Segal Sentenced to 126 Months in Prison

Malcolm Segal Sentenced to 126 Months in Prison   Have you lost money with financial advisor Malcolm Segal of Langhorne, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Malcolm Segal.  According to a complaint filed by the SEC against Segal in the Eastern District of Pennsylvania, Segal ran a ...

26
Apr

WARNING! Impending Investigation: MALCOLM SEGAL

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WARNING!  Impending Investigation:  MALCOLM SEGAL

Malcolm Segal Barred From Securities Industry   Have you lost money with financial advisor Malcolm Segal of Langhorne, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Malcolm Segal.  According to a complaint filed by the SEC against Segal in the Eastern District of Pennsylvania, Segal ran a Ponzi scheme ...

03
Jul

WARNING! Impending Investigation: MALCOLM SEGAL, AEGIS CAPITAL CORP. and CUMBERLAND BROKERAGE CORP.

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Malcolm Segal, Aegis Capital Corp., and Cumberland Brokerage Corp. Have you lost money with financial advisor Malcolm Segal of Langhorne, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Malcolm Segal.  According to a complaint filed by the SEC against Segal in the Eastern District of Pennsylvania, Segal ran a ...

10.0David P Neuman

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