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.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
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.
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