Investors reportedly complained about securities broker Eyal Farag (also known as Al Farag and as Alan Farag) [CRD: 3072211, Melville, New York], based on disclosures on FINRA BrokerCheck. Eyal Farag worked for Aegis Capital Corp. from September 8, 2014 to January 20, 2023. See the following information to know more about the securities broker’s disclosures.
Evidently, a client filed a complaint about Eyal Farag. Supposedly, Farag made unsuitable recommendations and breached his fiduciary duty. As a result, the client allegedly experienced damages. Consequently, on June 20, 2025, Aegis Capital Corp. settled this matter by paying the client $100,000.00 in damages.
Also, a client of Aegis Capital Corp. contested Eyal Farag’s sales practices in FINRA Arbitration No. 23-01129. Allegedly, Farag was negligent, breached a contract, and churned the client’s stock holdings. Therefore, Aegis Capital Corp. opted to settle the matter on October 14, 2024, by compensating the client in the amount of $40,000.00.
Also, on December 20, 2000, a Broadband Capital Management LLC client filed a complaint about Eyal Farag. Mainly, the client alleged that Farag engaged in unauthorized trading concerning over-the-counter equities. Consequently, the client requested $16,000.00 in compensation from Broadband Capital Management LLC or Farag. However, the firm closed this complaint without a resolution.
Additionally, a client of D.L. Cromwell Investments Inc. took aim at Eyal Farag’s sales practices, according to a complaint dated July 26, 1999. Allegedly, Farag engaged in unauthorized trading. It appears that Farag allegedly caused the client to sustain damages linked to equities. So, the client sought compensation from D.L. Cromwell Investments Inc. or Farag in the amount of $135,000.00 in this matter.
Do you need clarification on any investment losses relating to Eyal Farag? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer regarding a possible recovery. Soreide Law Group helps to recover losses for investors throughout the USA. Also, the firm works on a contingency fee basis and advances all costs. Farag and brokerage firms Farag worked for deny allegations 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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