Investors potentially experienced sales practice violations because of securities broker Gerald Warren Seigel (also known as Gerry Seigel) [CRD: 418229, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Seigel joined Aegis Capital Corporation in Sarasota, Florida, as both a securities broker and financial advisor on June 17, 2015. Read on to know more about the disclosures involving Gerald Seigel.
Particularly, on February 5, 2025, an Aegis Capital Corporation client filed FINRA Arbitration No. 25-00254 about Gerald Seigel. Notably, the client alleged that Seigel breached his fiduciary duty, breached a contract, and was negligent. As a result, the client allegedly sustained damages relating to structured products. Therefore, the client requested between $100,000 and $500,000 in compensation from Aegis Capital Corporation or Seigel. Evidently, this arbitration is pending a resolution.
Two prior client complaints about Seigel involve other employers. On December 21, 2007, a client alleged unsuitable and unauthorized transactions, seeking $300,000. On November 6, 2001, another client alleged failure to follow instructions and unauthorized trading, requesting $16,673.73. The firms denied these disputes.
Do you have concerns or questions regarding investments involving Gerald Seigel? If so, contact Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. For years, Soreide Law Group has recouped losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Seigel and brokerage firms Seigel worked for deny allegations of sales practice violations.
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