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UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

Tag Archives: James Schwartz

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., ...

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