Customers Sue Aegis Capital Corp For Unreasonable Investment Advice Aegis Capital Corp (CRD#: 15007, New York, New York) is a brokerage firm established on January 15, 1984 that is regulated by Financial Industry Regulatory Authority (“FINRA”) and an investment advisor firm registered with the Securities and Exchange Commission (“SEC”). Since establishment, Aegis has amassed 32 […]

Customers Take Aim At SII Investments For Unsuitability SII Investments, Inc. (CRD#: 2225, Wisconsin) is a previously registered brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported 13 regulatory events and 9 arbitrations – all of which reference allegations of SII Investments’ misconduct in the securities industry. Some of the SII Investments […]

Suitability Claims Filed Against Popular Securities, Miguel Cestero Miguel R. Correa Cestero (CRD#: 2765420, San Juan, Puerto Rico) has been a financial consultant of Popular Securities, LLC since July 28, 1997. Cestero’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile shows that when he was employed with Popular Securities, his activities served the basis of a […]

J.P. Morgan Sued By Customers Alleging Misrepresentation Zachary Aaron Morris (CRD#: 5939621, Atlanta, Georgia) has been a registered representative of J.P. Morgan Securities LLC since June 23, 2011. Morris has reported on FINRA BrokerCheck that his sales activities involving a J.P. Morgan Securities LLC customer have led the customer to file Financial Industry Regulatory Authority […]

Cetera Faces Customer Claims Alleging Sales Practice Violations Steven Franklin Brandt (CRD#: 2323730, Alexandria, Virginia) was a registered representative of Cetera Advisors LLC from January 1, 2004 and July 26, 2016. Brandt disclosed on FINRA BrokerCheck that his activities have resulted in a customer filing a Financial Industry Regulatory Authority (“FINRA”) Arbitration Case #18-02210 on […]

Customer Alleges Misrepresentation By Wells Fargo’s Jason Freeman Jason Marc Freeman (CRD#: 2339472, Boca Raton, Florida) has been a registered representative of Wells Fargo Clearing Services, LLC since March 20, 2009. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses that a Wells Fargo customer complained about Freeman’s conduct. Wells Fargo Customer Alleged Misrepresentation The customer filed […]