Brian Rockowitz In Aegis Capital Corp Investor Disputes

Aegis Capital Corp Clients File Disputes About Securities Broker Brian Rockowitz

It has come to the attention of Soreide Law Group through Financial Industry Regulatory Authority (FINRA) BrokerCheck that there are investor disputes filed against securities broker Brian David Rockowitz (CRD#: 1892992, Hauppauge, New York). Specifically, five investors who allegedly experienced damages because of the broker have filed disputes over it, according to FINRA. For more on these disputes and the allegations against Rockowitz, read below.

Aegis Capital Corp Client Alleges Unsuitable Recommendations In Dispute About Brian Rockowitz

Evidently, Brian Rockowitz worked as both a financial advisor and securities broker at Aegis Capital Corp from 2012 to 2019. During this time, the broker supposedly made improper recommendations to a client. Specifically, the April 2021 FINRA Arbitration Claim alleges that Rockowitz provided unsuitable recommendations which caused damages. For this reason, the client demanded $106,882 in this ongoing matter.

Client Of Aegis Capital Corp Alleges Breach Of Fiduciary Duty

It appears that a second client of Aegis Capital Corp filed a lawsuit over Brian Rockowitz’s actions at Aegis Capital Corp. First of all, the client claims in this April 2020 matter that Rockowitz made unsuitable trades. Secondly, the securities broker is accused of a breach of contract. Finally, the client alleges breach of fiduciary duty. Because of these alleged sales practice violations, the client seeks compensatory relief of $47,888 in this currently unresolved matter.

Janney Montgomery Scott LLC Client Alleges Damages On Brian Rockowitz’s Solicited Trades

Before joining Aegis Capital Corp, Brian Rockowitz used to work for Janney Montgomery Scott. According to a complaint, Rockowitz allegedly made solicitations of bad over-the-counter equities at Janney Montgomery Scott. These solicited trades, according to the client, did not meet a strategy that called for growth and protection of assets. Evidently, Janney Montgomery Scott opted to pay the client in the settlement of this matter.

Did You Sustain Damages By Investing Through Rockowitz?

Did Brian Rockowitz cause you to experience losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a skilled securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered meaningful compensation for United States investors who incurred losses because of their financial advisors and securities brokers. Please note that Rockowitz denies all allegations of his sales practice violations.