Aegis Capital Corp. Pays $2.8 Million to FINRA Over Excessive Trading Complaint

On November 9, 2021, FINRA announced that Aegis Capital Corp. would pay a $2.8 million in connection with an excessive trading complaint. The $2.8 million includes restitution of $1.7 million, which will be paid to 68 customers whose accounts were impacted. An additional $1.1 million was paid as a fine for Aegis’ supervisory violations. Here […]

FINRA Investigates Michael Venturino over Excessive Trading

Financial Industry Regulatory Authority (FINRA) records accessed on October 20, 2021 show that New York-based Spartan Capital Securities broker Michael Venturino is under investigation by FINRA in connection to allegations of misconduct. Investors with complaints regarding Mr. Venturino (CRD# 5872439) are encouraged to call MDF Law at 212-203-9300. Venturino was Registered with Spartan Capital, Trident […]

Customer Complaints Mount Against Michael Fasciglione

Public records provided and maintained by the Financial Industry Regulatory Authority (FINRA) indicate that New York-based Aegis Capital broker Michael Fasciglione has received numerous resolved or pending customer disputes. The investor advocates at MDF Law are investigating complaints against Mr. Fasciglione (CRD# 1806486). Fasciglione Involved in Multiple Customer Complaints According to his BrokerCheck report, he […]