Elliot Sherer Allegedly Engaged in Churning, Suitability Violations
Elliot Sherer (CRD# 2719671), a broker registered with Aegis Capital Corporation, recommended unsuitable investments, according to a recent investor dispute. MDF Law is investigating the Melville, New York financial professional for similar conduct. If you have concerns about your portfolio, call us for a free consultation. To learn more about Mr. Sherer’s professional history, continue […]
Tim Jefferson Allegedly Misappropriated Funds
Tim Jefferson (CRD# 5004750), formerly a broker registered with Aegis Capital, engaged in unethical business practices, according to a recent regulatory action. MDF Law is investigating the former Brentwood, Tennessee financial professional for similar conduct. If you have concerns about your investments, contact us for a free consultation. To learn more about the allegations against […]
Gary Costello Allegedly Made Unauthorized Trades
Gary Costello (CRD# 6117388), a broker registered with Aegis Capital, made unauthorized trades, according to multiple investor disputes. MDF Law is investigating the Boca Raton, Florida-based financial professional for similar conduct. Call us for a free consultation if you have concerns about your accounts. To learn more about the allegations against Mr. Costello, continue reading […]
Keith Curtis Barred by FINRA: “Potential Conversion of Funds”
Keith Curtis (CRD# 4798755), formerly a broker registered with Aegis Capital, refused to cooperate with an investigation into whether he converted funds, according to an enforcement action. MDF Law is investigating the former Tampa, Florida-based financial professional for allegations of similar conduct. We encourage investors with concerns about their accounts to contact us for a […]
Jilena Yuen-Han Mok Sanctioned: Unauthorized Trading Allegations
Jilena Yuen-Han Mok (CRD# 6115674), a broker registered with Aegis Capital, effected unauthorized trades, according to a disciplinary action. MDF Law is investigating the San Francisco-based financial professional, formerly registered with Edward Jones, for similar conduct. If you have concerns about your accounts, contact us for a free consultation. To learn more about the allegations […]
Sean Sullivan Accused of Unauthorized Trading
Sean Sullivan (CRD# 6283466), a broker previously registered with Aegis Capital, is involved in several disputes alleging he committed fraud and made excessive trades. According to his BrokerCheck report, a record published by the Financial Industry Regulatory Authority and accessed on June 10, 2023, the Sovereign Global Advisors representative is registered in Denver. Did Sean […]
FINRA Sanctions Aegis Broker Joe LaScala Over Trading Violations
Aegis Capital broker and adviser Joe LaScala (CRD# 3070261) was recently suspended over findings of excessive and unsuitable trading. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on April 6, 2022, Mr. LaScala operates out of the firm’s office in Melville, New York. Copy of FINRA Fine Against Joe LasCala FINRA: LaScala […]
Cory Bataan Has History of Customer Complaints and Settlements
Cory Bataan (CRD# 2755223) has been involved in customer disputes and a regulatory sanction over allegations of misconduct. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 8, 2022, Mr. Bataan was most recently affiliated as a broker with Terranova Capital Equities in New York City. He is not currently registered […]
Christopher Callagy Racks Up His Ninth BrokerCheck Disclosure
Christopher Callagy (CRD #: 1688999), a broker registered with Revere Securities, is involved in allegations of poor performance, according to his BrokerCheck record, accessed on January 10, 2022. This is his ninth disclosure. 2021 Customer Arbitration Before FINRA On January 27, 2021, an investor alleged that their securities suffered from poor performance from March 2019 […]
Complaint Involving Former Aegis Broker Yann Faho Settles for $300,000
Yann Faho (CRD #: 5397543), a broker formerly registered with Aegis Capital Corp, is involved in two investor disputes, according to his BrokerCheck record, accessed on January 10, 2022. If you or someone you know lost money investing with him or Aegis Capital, please contact or law firm at 800-767-8040 for a free and confidential […]