Category: Aegis Capital Corp

Did You Lose Money Because of Thomas Duggan?

Filed: March 20, 2024

Thomas Duggan currently has one (1) pending customer complaint. Overall, he has been the subject of eight (8) customer complaints and one (1) criminal event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Thomas Duggan.

Who Is Thomas Duggan?

• Advisor Name: Thomas Duggan
• Aliases: Thomas Duggan
• CRD: 2757615
• Location: Melville, New York
• Current Employer: Currently Not Registered
• Previous Firms: Aegis Capital Corp., Maxim Group LLC, and Investec Ernst & Company
• Number of Known Customer Complaints: 8
• Number of Known Criminal Events: 1
• Can Thomas Duggan Be Sued: Yes, in Private Arbitration
• Can Thomas Duggan’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $600,000

If you have suffered investment losses by Thomas Duggan, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Thomas Duggan For Broker Misconduct

As of this publication date, Thomas Duggan has been the subject of 8 customer disputes and 1 criminal event. Let’s review them below.

In November 2023, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging unsuitable investments, breach of contract, and breach of fiduciary duty. On February 9, 2024, Mr. Duggan settled the claim for $14,999, and some or all of this amount may have been paid by Mr. Duggan’s employer and/or insurance carrier.

In August 2023, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging unsuitable investments and breach of fiduciary duty. As of this publication date, this claim remains pending.

In January 2023, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging unsuitable investment strategy, excessive trading, breach of fiduciary duty, negligence & fraud. Per the customer, he/she lost over $1,500,000 because of Mr. Duggan’s actions. On October 31, 2023, Mr. Duggan settled the claim for $600,000, and some or all of this amount may have been paid by Mr. Duggan’s employer and/or insurance carrier.

In October 2022, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging unsuitable investment recommendations. On March 16, 2023, Mr. Duggan settled the claim for $75,000, and some or all of this amount may have been paid by Mr. Duggan’s employer and/or insurance carrier.

In June 2022, felony charges were pressed against Mr. Duggan in Nassau District Court for Hempstead, NY. Mr. Duggan received a felony charge for criminal possession of a controlled substance (5th).

In May 2021, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging unsuitable transactions, unauthorized trading, and excessive trading. Per the customer, he/she lost over $50,000 because of Mr. Duggan’s actions. On July 6, 2021, Mr. Duggan settled the claim for $7,500, and some or all of this amount may have been paid by Mr. Duggan’s employer and/or insurance carrier.

In January 2020, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging unsuitability, common law fraud, gross negligence, breach of contract, and elder abuse. Per the customer, he/she lost over $1,079,155.08 because of Mr. Duggan’s actions. On April 21, 2021, Mr. Duggan settled the claim for $145,000, and some or all of this amount may have been paid by Mr. Duggan’s employer and/or insurance carrier.

In January 2019, a FINRA arbitration was filed against or in reference to Thomas Duggan by a customer of Aegis Capital Corp. alleging breach of fiduciary duty, breach of contract, and misrepresentation. Per the customer, he/she lost over $80,000 because of Mr. Duggan’s actions. On February 16, 2022, Mr. Duggan settled the claim for $70,000, and some or all of this amount may have been paid by Mr. Duggan’s employer and/or insurance carrier.

In July 2001, a NASD arbitration was filed against or in reference to Thomas Duggan by a customer of Investec Ernst & Company alleging unauthorized purchase and sale. Per the customer, he/she lost over $1,264 because of Mr. Duggan’s actions. On July 26, 2001, Mr. Duggan settled the claim for $700.

How To File A Claim Against Thomas Duggan (previously with Aegis Capital Corp., Maxim Group LLC, and Investec Ernst & Company) To Get Your Money Back

If you have questions about Thomas Duggan, Aegis Capital Corp., Maxim Group LLC, Investec Ernst & Company, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Jason Rossi?

Filed: March 18, 2024

Jason Rossi currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Jason Tom Rossi.

Who Is Jason Tom Rossi of Aegis Capital Corp.?

• Advisor Name: Jason Tom Rossi
• Aliases: Jason Rossi
• CRD: 4384426
• Location: Melville, New York
• Current Employer: Aegis Capital Corp.
• Previous Firms: Global Arena Capital Corp, Prestige Financial Center, Inc., and The Concord Equity Group, LLC
• Number of Known Customer Complaints: 3
• Can Jason Rossi Be Sued: Yes, in Private Arbitration
• Can Jason Rossi’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $203,007
• Highest Settlement: $38,964.08

If you have suffered investment losses by Jason Rossi, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jason Rossi For Broker Misconduct

As of this publication date, Jason Rossi has been the subject of 3 customer disputes. Let’s review them below.

In December 2022, a FINRA arbitration was filed against or in reference to Jason Rossi by a customer of Aegis Capital Corp. alleging suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, and omission of material facts. Per the customer, he/she lost over $203,007 because of Mr. Rossi’s actions. As of this publication date, this claim remains pending.

In March 2020, a FINRA arbitration was filed against or in reference to Jason Rossi by a customer of Aegis Capital Corp. alleging unsuitability, breach of contract, and breach of fiduciary duty. Per the customer, he/she lost over $95,596 because of Mr. Rossi’s actions. On February 4, 2022, Mr. Rossi settled the claim for $38,964.08, and some or all of this amount may have been paid by Mr. Rossi’s employer and/or insurance carrier.

In January 2004, a complaint was filed against or in reference to Jason Rossi by a customer of Harrison Securities Inc. alleging failure to place a stop order. Per the customer, he/she lost over $5,000 because of Mr. Rossi’s actions.

How To File A Claim Against Jason Rossi of Aegis Capital Corp. (previously with Global Arena Capital Corp, Prestige Financial Center, Inc., and The Concord Equity Group, LLC) To Get Your Money Back

If you have questions about Jason Rossi, Aegis Capital Corp., Global Arena Capital Corp, Prestige Financial Center, Inc., The Concord Equity Group, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Michael Finnie?

Filed: March 15, 2024

Michael Finnie has been the subject of two (2) customer complaints, one (1) regulatory event, and one (1) financial event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Michael Robert Finnie.

Who Is Michael Robert Finnie of Aegis Capital Corp.?

• Advisor Name: Michael Robert Finnie
• Aliases: Michael Finnie
• CRD: 2112495
• Location: Timonium, Maryland and Powhatan, Virginia
• Current Employer: Aegis Capital Corp.
• Previous Firms: LPL Financial LLC and J. W. Cole Advisors, Inc.
• Number of Known Customer Complaints: 2
• Number of Known Regulatory Events: 1
• Number of Known Criminal Events: 1
• Can Michael Finnie Be Sued: Yes, in Private Arbitration
• Can Michael Finnie’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: $125,000

If you have suffered investment losses by Michael Finnie, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Michael Finnie For Broker Misconduct

As of this publication date, Michael Finnie has been the subject of 2 customer disputes, 1 regulatory event, and 1 financial event. Let’s review them below.

In January 2023, the Virginia State Corporation Commission initiated a regulatory action against or in reference to Michael Finnie for allegedly, in multiple instances, Finnie’s clients had no prior experience investing in the securities he placed them in and the investments represented a significant portion of their assets. The Division further alleged despite the clients requesting additional cash income from their investments, their returns were re-invested.

In September 2017, a collection agency reported that Mr. Finnie had outstanding debt totaling $800.  Mr. Finnie settled this matter in the amount of $607.

In October 2002, a NASD arbitration was filed against or in reference to Michael Finnie by a customer of A. G. Edwards & Sons, Inc. alleging misrepresentation, fraud, negligence, breach of fiduciary duty, violation of the Virginia Securities Act in conjunction with recommendation of unsuitable investments from September 2000 to November 2001. Per the customer, he/she lost over $300,000 because of Mr. Finnie’s actions. On December 18, 2003, Mr. Finnie settled the claim for $125,000, and some or all of this amount may have been paid by Mr. Finnie’s employer and/or insurance carrier.

In September 1999, a complaint was filed against or in reference to Michael Finnie by a customer of First Union Brokerage Services, Inc. alleging that the sale of the mutual fund and subsequent purchase of the US treasury strip were not fully explained with regard to risk. The US treasury was sold at a loss. Per the customer, he/she lost over $7,225.45 because of Mr. Finnie’s actions. On March 13, 2000, Mr. Finnie settled the claim for $5,427.73, and some or all of this amount may have been paid by Mr. Finnie’s employer and/or insurance carrier.

How To File A Claim Against Michael Finnie of Aegis Capital Corp. (previously with LPL Financial LLC and J. W. Cole Advisors, Inc.) To Get Your Money Back

If you have questions about Michael Finnie, Aegis Capital Corp., LPL Financial LLC, J. W. Cole Advisors, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Clayton Shum?

Filed: March 13, 2024

Clayton Shum (also known as Clayton Kwok Shum) has been the subject of one (1) customer complaint and two (2) termination events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Clayton K Shum.

Who Is Clayton K Shum of Aegis Capital Corp.?

• Advisor Name: Clayton K Shum
• Aliases: Clayton K Shum, Clayton Kwok Shum
• CRD: 4412927
• Location: Burlingame, California and New York, New York
• Current Employer: Aegis Capital Corp.
• Previous Firms: Grove Point Advisors, LLC, Grove Point Investments, LLC, and H. Beck, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Termination Events: 2
• Can Clayton Shum Be Sued: Yes, in Private Arbitration
• Can Clayton Shum’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $560,000

If you have suffered investment losses by Clayton Shum, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Clayton Shum For Broker Misconduct

As of this publication date, Clayton Shum has been the subject of 1 customer dispute and 2 regulatory events. Let’s review them below.

In January 2023, Grove Point Investments, LLC terminated Clayton Shum for violating multiple Firm policies including a prohibition on arranging personal financing for securities clients, requirements to obtain appropriate variable annuity and seminar pre-approval, and proper reporting of customer complaints.

In September 2006, a NASD arbitration was filed against or in reference to Clayton Shum by a customer of NY Life and FMSI alleging that Mr. Shum may have had a conflict of interest and may have misappropriated certain assets of the trust. Per the customer, he/she lost over $1,500,000 because of Mr. Shum’s actions. On January 29, 2008, Mr. Shum settled the claim for $560,000, and some or all of this amount may have been paid by Mr. Shum’s employer and/or insurance carrier.

In April 2004, NYLife Securities Inc. terminated Clayton Shum for allegedly effecting the transfer of funds from their 401(k) to a variable annuity without the customer’s authorization.

How To File A Claim Against Clayton Shum of Aegis Capital Corp. (previously with Grove Point Advisors, LLC, Grove Point Investments, LLC, and H. Beck, Inc.) To Get Your Money Back

If you have questions about Clayton Shum, Aegis Capital Corp., Grove Point Advisors, LLC, Grove Point Investments, LLC, H. Beck, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Michelle Perres?

Filed: March 12, 2024

Michelle Perres (also known as Michelle Haffner) currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Michelle Perres.

Who Is Michelle Perres of Aegis Capital Corp.?

• Advisor Name: Michelle Perres
• Aliases: Michelle Haffner
• CRD: 4350152
• Location: Melville, New York
• Current Employer: Aegis Capital Corp.
• Previous Firms: Global Arena Capital Corp, B.B. Graham & Company, Inc., and Liberty Partners Financial Services, LLC
• Number of Known Customer Complaints: 3
• Can Michelle Perres Be Sued: Yes, in Private Arbitration
• Can Michelle Perres’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $140,000
• Highest Settlement: $50,000

If you have suffered investment losses by Michelle Perres, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Michelle Perres For Broker Misconduct

As of this publication date, Michelle Perres has been the subject of 3 customer disputes. Let’s review them below.

In January 2023, a FINRA arbitration was filed against or in reference to Michelle Perres by a customer of Aegis Capital Corp. alleging unsuitable investments and breach of contract. As of this publication date, this claim remains pending.

In April 2021, a FINRA arbitration was filed against or in reference to Michelle Perres by a customer of Aegis Capital Corp. alleging unsuitable investment. Per the customer, he/she lost over $50,000 because of Ms. Perres’s actions.

In February 2012, a FINRA arbitration was filed against or in reference to Michelle Perres by a customer of Liberty Partners Financial Services, LLC alleging unauthorized sale of 1 security to purchase another. Per the customer, he/she lost over $140,000 because of Ms. Perres’s actions. On March 6, 2012, Ms. Perres settled the claim for $50,000, and some or all of this amount may have been paid by Ms. Perres’s employer and/or insurance carrier.

How To File A Claim Against Michelle Perres of Aegis Capital Corp. (previously with Global Arena Capital Corp, B.B. Graham & Company, Inc., and Liberty Partners Financial Services, LLC) To Get Your Money Back

If you have questions about Michelle Perres, Aegis Capital Corp., Global Arena Capital Corp, B.B. Graham & Company, Inc., Liberty Partners Financial Services, LLC., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Frank Giacalone?

Filed: March 11, 2024

Frank Giacalone currently has one (1) pending customer complaint. Overall, he has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Frank Giacalone.

Who Is Frank Giacalone of Aegis Capital Corp.?

• Advisor Name: Frank Giacalone
• Aliases: Frank Giacalone
• CRD: 4314174
• Location: Melville, New York
• Current Employer: Aegis Capital Corp.
• Previous Firms: Obsidian Financial Group, LLC, Empire Financial Group, Inc., and Ehrenkrantz King Nussbaum, Inc.
• Number of Known Customer Complaints: 4
• Can Frank Giacalone Be Sued: Yes, in Private Arbitration
• Can Frank Giacalone’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $139,224
• Highest Settlement: $80,000

If you have suffered investment losses by Frank Giacalone, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Frank Giacalone For Broker Misconduct

As of this publication date, Frank Giacalone has been the subject of 4 customer disputes. Let’s review them below.

In December 2022, a FINRA arbitration was filed against or in reference to Frank Giacalone by a customer of Aegis Capital Corp. alleging suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, and omission of material facts. Per the customer, he/she lost over $139,224 because of Mr. Giacalone’s actions. As of this publication date, this claim remains pending.

In March 2022, a complaint was filed against or in reference to Frank Giacalone by a customer of Aegis Capital Corp. alleging unsuitable recommendations and investments. Per the customer, he/she lost over $71,000 because of Mr. Giacalone’s actions.

In June 2016, a FINRA arbitration was filed against or in reference to Frank Giacalone by a customer of Obsidian Financial Group, LLC and Aegis Capital Corp. alleging churning, unsuitable recommendations, unauthorized trading, negligence, breach of fiduciary duty, breach of contract, and misrepresentation. Per the customer, he/she lost over $128,319.58 because of Mr. Giacalone’s actions. On September 5, 2017, Mr. Giacalone settled the claim for $27,500.

In June 2015, a FINRA arbitration was filed against or in reference to Frank Giacalone by a customer of Obsidian Financial Group, LLC and Aegis Capital Corp. alleging unsuitable recommendations. Per the customer, he/she lost over $107,969.92 because of Mr. Giacalone’s actions. On November 30, 2016, Mr. Giacalone settled the claim for $80,000, and some or all of this amount may have been paid by Mr. Giacalone’s employer and/or insurance carrier.

How To File A Claim Against Frank Giacalone of Aegis Capital Corp. (previously with Obsidian Financial Group, LLC, Empire Financial Group, Inc., and Ehrenkrantz King Nussbaum, Inc.) To Get Your Money Back

If you have questions about Frank Giacalone, Aegis Capital Corp., Obsidian Financial Group, LLC, Empire Financial Group, Inc., Ehrenkrantz King Nussbaum, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of William Notrica?

Filed: March 11, 2024

William Notrica (also known as William L Notrica) has been the subject of nine (9) customer complaints and one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on William Lee Notrica.

Who Is William Lee Notrica of Wells Fargo Clearing Services, LLC?

• Advisor Name: William Lee Notrica
• Aliases: William L Notrica
• CRD: 817537
• Location: San Juan Capistrano, California and Portland, Oregon
• Current Employer: Aegis Capital Corp.
• Previous Firms: RBC Capital Markets, LLC and Wachovia Securities, LLC
• Number of Known Customer Complaints: 9
• Number of Known Termination Events: 1
• Can William Notrica Be Sued: Yes, in Private Arbitration
• Can William Notrica’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $200,000
• Highest Settlement: $130,000

If you have suffered investment losses by William Notrica, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against William Notrica For Broker Misconduct

As of this publication date, William Notrica has been the subject of 9 customer disputes and 1 termination event. Let’s review them below.

In April 2023, a FINRA arbitration was filed against or in reference to William Notrica by a customer of RBC Capital Markets, LLC alleging unsuitable investments and unreasonably high commissions and fees. On February 13, 2024, Mr. Notrica settled the claim for $130,000, and some or all of this amount may have been paid by Mr. Notrica’s employer and/or insurance carrier.

In January 2022, RBC Capital Markets, LLC terminated William Notrica for being in violation of the Firm’s Time and Price Discretion Policy and Order Execution Policy.

In July 2007, a complaint was filed against or in reference to William Notrica by multiple customers of RBC Dain Rauscher Inc. alleging unauthorized purchase of NEWCQ on 08/05/2005 and alleged unauthorized use of margin upon their authorized purchase of TYN on 10/26/2005.

In November 2002, a NASDR arbitration was filed against or in reference to William Notrica by multiple customers of Wachovia Securities, Inc. N/K/A Wachovia Securities, LLC alleging breach of fiduciary duty as a result of alleged failure to recommend sale of Cisco and Broadcom shares held on margin between April and December of 2000. Per the customers, they lost over $200,000 because of Mr. Notrica’s actions. On June 5, 2006, Mr. Notrica settled the claim for $87,500, and some or all of this amount may have been paid by Mr. Notrica’s employer and/or insurance carrier.

In September 2001, a complaint was filed against or in reference to William Notrica by a customer of First Union Securities, Inc. alleging that Mr. Notrica failed to make sense in August as the client allegedly requested him to do. Per the customer, he lost over $7,374 because of Mr. Notrica’s actions.

In August 2001, a complaint was filed against or in reference to William Notrica by multiple customers of First Union Securities, Inc. alleging unauthorized trades in early to mid 2000 in Scon, Stgc, Cpth, And Tera; and a failure to follow instructions in January 2000 to sell IU in one of their accounts. Per the customers, they lost over $5,000 because of Mr. Notrica’s actions.

In March 2001, a NASDR arbitration was filed against or in reference to William Notrica by multiple customers of First Union Securities, Inc. N/K/A Wachovia Securities, LLC alleging unsuitable securities and purchased three mutual funds and one OTC stock without prior authorization. Per the customers, they lost over $200,000 because of Mr. Notrica’s actions. On December 29, 2004, Mr. Notrica settled the claim for $12,000, and some or all of this amount may have been paid by Mr. Notrica’s employer and/or insurance carrier.

In December 2000, a NASD-DR arbitration was filed against or in reference to William Notrica by a customer of First Union Securities, Inc. alleging that Mr. Notrica failed to follow instructions to sell all of his exchange and OTC common stocks before the market dropped in early 2000. There were also questions about operational matters and the accuracy of information received in response to questions. Per the customer, he/she lost over $5,000 because of Mr. Notrica’s actions. On November 27, 2002, Mr. Notrica settled the claim for $42,500, and some or all of this amount may have been paid by Mr. Notrica’s employer and/or insurance carrier.

In January 2000, a complaint was filed against or in reference to William Notrica by multiple customers of First Union Securities, Inc. alleging that the clients’ mother’s purchase of the Franklin Tax Free Fund was misrepresented to them. They said that the yield was overestimated and the number of years associated with the CDSC was misstated. Per the customers, they lost over $26,441.48 because of Mr. Notrica’s actions.

In November 1993, an AAA arbitration was filed against or in reference to William Notrica by a customer alleging unsuitable recommendation, misrepresentation, and omission. Per the customer, he/she lost over $53,000 because of Mr. Notrica’s actions. An arbitration panel found that William Notrica was negligent and awarded $3,600 in favor of the customers.

How To File A Claim Against William Notrica of Aegis Capital Corp. (previously with RBC Capital Markets, LLC and Wachovia Securities, LLC) To Get Your Money Back

If you have questions about William Notrica, Aegis Capital Corp., RBC Capital Markets, LLC, Wachovia Securities, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Surage Perera?

Filed: March 6, 2024

Surage Perera (also known as Roshan Perera) currently has two (2) pending customer complaints and one (1) pending civil event. Overall, Perera has been the subject of one (1) regulatory event, one (1) civil event, and four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Surage Kamal Roshan Perera.

Who Is Surage Kamal Roshan Perera?

• Advisor Name: Surage Kamal Roshan Perera
• Aliases: Roshan Perera
• CRD: 4716321
• Location: Melville, New York
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: Aegis Capital Corp., Maxim Group LLC, and Stokkings Capital LLC
• Number of Known Customer Complaints: 4
• Number of Known Regulatory Events: 1
• Number of Known Civil Events: 1
• Can Surage Perera Be Sued: Yes, in Private Arbitration
• Can Surage Perera’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $3,300,000
• Highest Settlement: $14,999.99

If you have suffered investment losses by Surage Perera, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Surage Perera For Broker Misconduct

As of this publication date, Surage Perera has been the subject of 4 customer disputes, 1 regulatory event, and 1 civil event. Let’s review them below.

In July 2023, FINRA initiated a regulatory action against or in reference to Surage Perera for allegedly refusing to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations that he had defrauded a customer while he was associated with a member firm.

In June 2023, a complaint was filed against or in reference to Surage Perera by a customer of Aegis Capital Corp. alleging misrepresentation relating to an investment recommendation. Per the customer, he/she lost over $100,000 because of Perera’s actions. On November 8, 2023, Perera settled the claim for $14,999.99, and some or all of this amount may have been paid by Perera’s employer and/or insurance carrier.

In May 2023, a FINRA arbitration was filed against or in reference to Surage Perera by a customer of Aegis Capital Corp. alleging suitability, misrepresentation, fraud, and breach of contract. Per the customer, he/she lost over $854,000 because of Perera’s actions. As of this publication date, this claim remains pending.

In May 2023, a FINRA arbitration was filed against or in reference to Surage Perera by a customer of Aegis Capital Corp. alleging fraud, negligence, misrepresentation, and omission of material facts. Per the customer, he/she lost over $3,300,000 because of Perera’s actions. As of this publication date, this claim remains pending.

In March 2023, the United States Securities and Exchange Commission initiated a civil action against or in reference to Surage Perera for allegedly defrauded at least one investor out of millions of dollars by lying about investment opportunities and strategies; misappropriating the investor’s money by, in part, not purchasing the securities she subscribed to through Janues and using a substantial portion of her money to engage in high volume, highly leveraged trading in other securities; lying to her about non-existent investment profits; and concealing large trading losses.

In February 2009, a FINRA arbitration was filed against or in reference to Surage Perera by a customer of Prestige Financial Center, Inc. alleging unauthorized purchase of 750 shares of (MT:NYSE). Per the customer, he/she lost over $67,607 because of Perera’s actions. On October 23, 2009, Perera settled the claim for $12,000.

How To File A Claim Against Surage Perera (previously with Aegis Capital Corp., Maxim Group LLC, and Stokkings Capital LLC) To Get Your Money Back

If you have questions about Surage Perera, Aegis Capital Corp., Maxim Group LLC, Stokkings Capital LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Gerry Siegel?

Filed: March 4, 2024

Gerald Siegel (also known as Gerry Seigel) has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Gerald Warren Siegel.

Who Is Gerald Warren Siegel of Aegis Capital Corp.?

• Advisor Name: Gerald Warren Siegel
• Aliases: Gerald W Seigel, Gerry Seigel
• CRD: 418229
• Location: Sarasota, Florida
• Current Employer: Aegis Capital Corp.
• Previous Firms: JHS Capital Advisors, LLC and Vioni Capital Management, LLC
• Number of Known Customer Complaints: 2
• Can Gerald Siegel Be Sued: Yes, in Private Arbitration
• Can Gerald Siegel’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: Unknown

If you have suffered investment losses by Gerald Siegel, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Gerry Siegel For Broker Misconduct

As of this publication date, Gerald Siegel has been the subject of 2 customer disputes. Let’s review them below.

In December 2007, a complaint was filed against or in reference to Gerald Siegel by a customer of Citigroup Global Markets Inc. alleging unauthorized and unsuitable transactions 1999- March 2007. Per the customer, he/she lost over $300,000 because of Mr. Siegel’s actions.

In November 2001, a complaint was filed against or in reference to Gerald Siegel by a customer of Salomon Smith Barney alleging failure to follow instructions with regard to the sale of an equity in July 2000 and unauthorized trading with regard to the overpurchases of shares of equities in March 2000. Per the customer, he/she lost over $16,673.73 because of Mr. Siegel’s actions.

How To File A Claim Against Gerry Siegel of Aegis Capital Corp. (previously with JHS Capital Advisors, LLC and Vioni Capital Management, LLC) To Get Your Money Back

If you have questions about Gerry Siegel, Aegis Capital Corp., JHS Capital Advisors, LLC, Vioni Capital Management, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Eric Davidson?

Filed: February 15, 2024

Eric Davidson has been the subject of three (3) customer complaints and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Eric William Davidson.

Who Is Eric William Davidson of Aegis Capital Corp.?

• Advisor Name: Eric William Davidson
• Aliases: Eric W Davidson
• CRD: 2731195
• Location: Portland, Oregon
• Current Employer: Aegis Capital Corp.
• Previous Firms: JHS Capital Advisors, LLC and Paulson Investment Company, Inc.
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 1
• Can Eric Davidson Be Sued: Yes, in Private Arbitration
• Can Eric Davidson’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $2,750,000
• Highest Settlement: $187,500

If you have suffered investment losses by Eric Davidson, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Eric Davidson For Broker Misconduct

As of this publication date, Eric Davidson has been the subject of 3 customer disputes and 1 regulatory event. Let’s review them below.

In August 2023, a complaint was filed against or in reference to Eric Davidson by a customer of Aegis Capital Corp. alleging unsuitable investments. Per the customer, he/she lost over $300,000 because of Mr. Davidson’s actions.

In May 2009, FINRA initiated a regulatory action against or in reference to Eric Davidson for engaging in private securities transactions without prior notice to his member firm in that he participated in the sale to two investors of $500,000 in limited partnership interests in a hedge fund that he recommended through his praised of the fund’s management and performance to the investors and with the providing of the fund’s performance reports and written materials, and facilitating meetings or discussions.

In May 2006, a complaint was filed against or in reference to Eric Davidson by a customer of Paulson Investment Company, Inc. alleging participation in his investment in Wood River Partners, L.P., a hedge fund. Per the customer, he lost over $2,750,000 because of Mr. Davidson’s actions. On August 11, 2006, Mr. Davidson settled the claim for $180,000, and some or all of this amount may have been paid by Mr. Davidson’s employer and/or insurance carrier.

In December 2005, a complaint was filed against or in reference to Eric Davidson by a customer of Paulson Investment Company, Inc. alleging Mr. Davidson’s participation in the customers’ investment in Wood River Partners, L.P., a hedge fund. Per the customer, he/she lost over $1,050,000 because of Mr. Davidson’s actions. On November 6, 2007, Mr. Davidson settled the claim for $187,500, and some or all of this amount may have been paid by Mr. Davidson’s employer and/or insurance carrier.

How To File A Claim Against Eric Davidson of Aegis Capital Corp. (previously with JHS Capital Advisors, LLC and Paulson Investment Company, Inc.) To Get Your Money Back

If you have questions about Eric Davidson, Aegis Capital Corp., JHS Capital Advisors, LLC, Paulson Investment Company, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.