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 […]