Investors apparently complained about securities broker Alain Alberto Ohayon (also known as Allen Alberto Ohayon) [CRD: 1180975, Melville, New York], based on publicly available information FINRA BrokerCheck. Evidently, Ohayon has been registered with Aegis Capital Corp. since September 17, 2013. Read on to discover more about the disclosures involving this broker.
Also, on September 16, 2024, an Aegis Capital Corp. client filed FINRA Arbitration No. 24-01988 about Alain Ohayon. Primarily, the client alleged that Ohayon breached a contract, breached his fiduciary duty, and engaged in unsuitable trading. Because of this, the client allegedly sustained damages connected to stocks. Consequently, the client requested compensation of more than $5,000 from Aegis Capital Corp. or Ohayon. This arbitration is pending a resolution.
Also, a client filed a complaint about Alain Ohayon. Mainly, the client alleged that Ohayon engaged in unauthorized trading and recommended investments that performed poorly. As a result, on February 15, 2022, Aegis Capital Corp. settled this matter by paying the client $14,900.00 in damages.
Additionally, a client of Donaldson Lufkin Jenrette contested Alain Ohayon’s sales practices by filing FINRA Arbitration No. 94-04613. Allegedly, Ohayon made misrepresentations, failed to supervise, churned accounts, and made unsuitable recommendations. Therefore, Donaldson Lufkin Jenrette opted to settle the matter on November 3, 1995, by compensating the client in the amount of $300,000.00.
Did you experience losses because of Alain Ohayon? You can get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee basis and advances all costs. Ohayon and brokerage firms Ohayon worked for deny accusations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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