Investors apparently complained about securities broker Sergio M. Rovner (also known as Sergey Rovner) [CRD: 2884441, New York, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Rovner has been registered with Aegis Capital Corp. since July 2, 2014. Keep reading to discover more about the disclosures involving this securities broker.
Specifically, on December 3, 2024, an Aegis Capital Corp. client filed FINRA Arbitration No. 24-02534 about Sergio Rovner. Mainly, the client alleged that Rovner made unsuitable recommendations. Because of this, the client allegedly incurred damages linked to private placements. As a result, the client requested $4,095,000 in compensation from Aegis Capital Corp. or Rovner. It appears that this arbitration is awaiting a resolution.
Notably, a client of Aegis Capital Corp. contested Sergio Rovner’s sales practices by filing FINRA Arbitration No. 18-00408. Allegedly, Rovner engaged in unauthorized trading and made unsuitable recommendations. It appears that Rovner allegedly caused the investor to sustain damages. Therefore, Aegis Capital Corp. opted to settle the matter on May 30, 2019, by compensating the client in the amount of $12,635.22.
Do you need clarification on any investment losses relating to Sergio Rovner? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Rovner and brokerage firms Rovner worked for deny accusations of sales practice violations.
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