Soreide Law Group is investigating possible investor claims against securities broker Mickey Schreiber (also known as M.B. Schreiber) (CRD: 1032600, Red Bank, New Jersey. Specifically, Aegis Capital Corporation permitted Schreiber to resign amid allegations of his misconduct. Not only that, but FINRA sanctioned him and investors complained about him. Here is a brief summary of […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Corey Johnson (also known as Corey Alexander Johnson) (CRD: 5752206, Melville, New York). Notably, FINRA sanctioned Johnson for discretionary trading. However, Johnson denies the allegations. Read on to learn more about the allegations against Johnson. FINRA Sanctions Corey Johnson For Discretionary Trading Evidently, […]

Investors have come forward with complaints about securities broker Sean Sullivan AKA Sean T. Sullivan [CRD#: 6283466, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sullivan made unauthorized transactions. For more on these disclosures […]

Investors have come forward with complaints about securities broker Elliot Sherer AKA Elliot Hough Sherer [CRD#: 15007, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sherer breached a fiduciary duty, was negligent, made misrepresentations, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Michael Fasciglione [CRD#: 1806486, Garden City, NY]. Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corp. Additionally, the securities broker discloses a regulatory enforcement action. However, Fasciglione denies the allegations of sales practice violations. Read on […]

Investors have come forward with complaints about securities broker Alan Zelig Appelbaum [CRD #: 500336, Boca Raton, Florida]. Appelbaum worked for (1) Aegis Capital Corp from 2015-2021; (2) Herbert J. Sims & Co from 2002-2015; and (3) Ryan Beck & Co LLC from 2002-2002. Evidently, the securities broker discloses Aegis Capital Corp investor disputes on […]

Securities Broker James Mariani Involved In Aegis Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker James J. Mariani (CRD#: 2932631, Mineola, New York). Evidently, Mariani worked for securities firms National Securities Corporation (2007 to 2017) and Aegis Capital Corp. (2017 to 2021). Notably, ten investors filed disputes alleging sales […]

Investor Disputes Reportedly Concern Sales Practices Of Broker Keith Connolly Soreide Law Group comes to you regarding the investment disputes alleging sales practice violations by broker Keith Lawton James Connolly (CRD#: 2667382, Melville, New York). Evidently, Connolly worked for firms JD Nicholas (2008 to 2015) and Aegis Capital Corp (2015 to 2019). It appears that […]

Aegis Capital Clients Allege Sales Practice Violations By Dennis Herrera The Financial Industry Regulatory Authority (FINRA) contains important information concerning securities broker Dennis Daniel Herrera (CRD#: 4618370, Miami, Florida). BrokerCheck shows that Herrera has worked as an Aegis Capital Corp. securities broker since March 2016. He also worked for firms including Blackbook Capital and Hunter […]