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 […]
Jerome Messana Involved in Customer Complaints and Regulatory Issues
Jerome Messana (CRD# 712315) has twelve disclosure events on his securities license. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on November 27, 2021, Mr. Messana has been involved in customer disputes and regulatory enforcement actions. Regulators Sanctioned Jerome Messana in 2001 In 2001 two state securities regulators issued sanctions against Jerome […]
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 […]
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 […]