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 […]

Investors might have sustained losses because of securities broker Daniel Isreal Schapiro (also known as Dan Schapiro) [CRD: 2335244, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schapiro joined Dominari Securities LLC on March 1, 2024. Previously, he worked at Aegis Capital Corporation from August 15, 2017 to March […]

FINRA Contends That Broker Steven Luftschein Made Excessive Trades Causing Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) brought a regulatory action against Steven R. Luftschein (CRD#: 2690117, Huntington, New York) – also known by the name Steven Lerner. Specifically, in May 2020, the watchdog accused the securities broker of both violating fraud […]

INVESTOR ALERT: FINRA Bars JAMES SCHWARTZ For Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) announced it barred Aegis Capital Corp securities representative James Bradley Schwartz (CRD#: 3043085, New York City, New York) for making fraudulent trades and churning Aegis Capital Corp customers’ accounts. A settlement was reached April 16, 2019 in Case #2016051704302, following […]

Soreide Law Group has been contacted by several bond investors in Harrah's, now known as Caesars Entertainment Corporation. Many of these investors, who lost their entire investment, purchased these bonds through Aegis Capital Corporation. Aegis has been in business since 1984 and is located in New York City. Caesars Entertainment changed its name from Harrah's […]