The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Antonio Almeida (also known as Tony Almeida) (CRD: 3106626, Melville, New York). Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Almeida denies the allegations of sales practice violations. Read on to learn more about the allegations against Almeida.
Aegis Capital Corporation Investor Accused Almeida Of Unsuitable Recommendations
Evidently, on April 26, 2021, an Aegis Capital Corporation client filed FINRA Arbitration: 21-01073 about Antonio Almeida. Namely, the client alleged that Almeida made unsuitable recommendations. Because of this, the client allegedly sustained damages. Therefore, the client requested $106,882.07 in compensation from Aegis Capital Corporation or Almeida. This arbitration is pending a resolution.
Evidently, on January 6, 2021, FINRA issued Acceptance, Waiver, and Consent No. 2020065073801 sanctioning Antonio Almeida for infractions. Specifically, Almeida was suspended for not disclosing a felony charge on his Form U4.
Almeida Discloses Churning Allegations By Aegis Capital Corporation Client
Specifically, a client of Aegis Capital Corporation contested Antonio Almeida’s sales practices by filing FINRA Arbitration: 15-01541. Allegedly, Almeida churned accounts and made misrepresentations. It appears that Almeida caused the client to sustain damages on equities. Therefore, Aegis Capital Corporation opted to settle the matter on May 19, 2016, by compensating the client in the amount of $30,000.
Global Arena Capital Corp. Investor Accused Antonio Almeida Of Unauthorized Trading
Particularly, on October 1, 2013, a Global Arena Capital Corp. client filed a complaint about Antonio Almeida. Namely, the client alleged that Almeida engaged in unauthorized trading. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested $6,000 in compensation from Global Arena Capital Corp. or Almeida. However, the client withdrew this complaint.
- Almeida worked for Aegis Capital Corporation in Melville, New York, as a securities broker from March 18, 2014, to December 15, 2017.
- Almeida worked for Worden Capital Management LLC in Garden City, New York, as a securities broker from January 21, 2020, to February 12, 2021.
Damages Resulting From Aegis Capital Corporation Securities Broker Almeida?
Have you incurred damages by investing with Antonio Almeida? If so, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a potential recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Almeida and brokerage firms Almeida worked for deny any allegations of sales practice violations.
