Mar 8, 2022

Ghazaleh Ebrahimi of Aegis Capital

DID GHAZALEH EBRAHIMI CAUSE YOU INVESTMENT LOSSES? Ghazaleh Ebrahimi Of Aegis Capital Corp. And Formerly With Stifel Nicolaus & Company, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Who is Ghazaleh Ebrahimi of Aegis Capital Corp.? Ghazaleh Ebrahimi (CRD #2873246) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Ghazaleh Ebrahimi was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ghazaleh Ebrahimi Customer Complaints Ghazaleh Ebrahimi has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. All of Ghazaleh Ebrahimi’s 5 customer complaints were settled in favor of investors. Allegations Against Ghazaleh Ebrahimi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Ghazaleh Ebrahimi’s violation of standards of reasonable basis suitability (FINRA Rule 2310(b)) just and equitable principles of trade (FINRA Rule 2010; fraud, misleading statements, misleading omissions of material information; breach of fiduciary duty; negligent misrepresentation; negligence; breach of contract and warranty; third party beneficiary breach of contract; breach of the covenant of good faith and fair dealing; elder abuse; and aiding and abetting financial elder abuse. Claimants alleged Ghazaleh Ebrahimi’s breach of fiduciary duty; negligence; breach of contract; common law fraud and deceit; violations of FINRA rules 2310, 2210, 2110 , 2120 and 3010. Client verbally alleged that Ghazaleh Ebrahimi recommended an unsuitable investment in an inverse/leveraged ETF. Clients alleged that their investments made by Ghazaleh Ebrahimi in reverse convertible notes were unsuitable due to the fact that the investments’ recent market performance exhibited more volatility than the customer was willing to accept. Customer purchased reverse convertible bonds and claims that these investments allegedly recommended by Ghazaleh Ebrahimi were not suitable. Ghazaleh Ebrahimi Red Flags & Your Rights As An Investor Of course, Ghazaleh Ebrahimi did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ghazaleh Ebrahimi at Aegis Capital Corp. and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Ghazaleh Ebrahimi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and Stifel Nicolaus & Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Corp. Due To Ghazaleh Ebrahimi If you have questions about Aegis Capital Corp., Stifel Nicolaus & Company, and/or Ghazaleh Ebrahimi and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Farrell Formerly With Aegis Capital

DID MICHAEL JAMES FARRELL CAUSE YOU INVESTMENT LOSSES? Michael Farrell Formerly With Aegis Capital, National Securities And Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Farrell formerly with Aegis Capital? Michael Farrell (CRD #2282842) who was formerly registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Michael Farrell was associated with National Securities, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Farrell Customer Complaint Michael Farrell has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitability, breach of contract, breach of fiduciary duty. The customer complaint filed against Michael Farrell’s former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Farrell Red Flags & Your Rights As An Investor Of course, Michael Farrell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Farrell at Aegis Capital, National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Farrell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, National Securities, and Newbridge Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Michael Farrell If you have questions about Aegis Capital, National Securities, Newbridge Securities, and/or Michael Farrell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Keith Connolly Formerly With Aegis Capital

DID KEITH LAWTON JAMES CONNOLLY CAUSE YOU INVESTMENT LOSSES? Keith Connolly Formerly With Aegis Capital And J.D. Nicholas & Associates Has 14 Customer Complaints For Alleged Broker Misconduct Who is Keith Connolly formerly with Aegis Capital? Keith Connolly (CRD #2667382) who was formerly registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Keith Connolly was associated with J.D. Nicholas & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Keith Connolly Customer Complaints Keith Connolly has been the subject of 13 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One arbitration award was entered against Vision Securities for Keith Connolly’s alleged misconduct causing investors losses. Eight of Keith Connolly’s 14 customer complaints were settled in favor of investors. Four of Keith Connolly’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Keith Connolly’s alleged misconduct. Allegations Against Keith Connolly A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged claims involve Keith Connolly’s churning, negligence, unsuitability, overconcentration, and failure to supervise. Claimant brought arbitration to recover losses incurred as a result of respondents’ alleged failure to adhere to their basic duties when opening, administering and supervising claimant’s brokerage accounts and Keith Connolly. Client claims one unauthorized trade allegedly by Keith Connolly. Client alleged unauthorized trading by Keith Connolly. Client is seeking to recoup all damages sustained from the mismanagement and control over his account, regarding unauthorized transactions, margin churning, omission of facts by Keith Connolly. Keith Connolly’s client alleged excessive commissions. Client alleged market losses attributed to active trading by Keith Connolly. Unauthorized trading allegedly by Keith Connolly. Keith Connolly’s alleged unauthorized trades, poor performance, suitability, failure to follow instructions, excessive commissions. Keith Connolly’s alleged unauthorized trades. Keith Connolly’s alleged unauthorized trading. Keith Connolly’s alleged unsuitable investment recommendations. Keith Connolly Red Flags & Your Rights As An Investor Of course, Keith Connolly did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Keith Connolly at Aegis Capital and J.D. Nicholas & Associates on alert to review carefully the activity and performance of their accounts and question whether Keith Connolly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and J.D. Nicholas & Associates also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Keith Connolly If you have questions about Aegis Capital, J.D. Nicholas & Associates, and/or Keith Connolly and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Charles of Craft Capital Management

DID MICHAEL ROBERT CHARLES CAUSE YOU INVESTMENT LOSSES? Michael Charles Of Craft Capital Management And Formerly With Aegis Capital, Meyers Associates and National Securities Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Charles of Craft Capital Management? Michael Charles (CRD #2926725) who is currently registered with Craft Capital Management and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Craft Capital Management, Michael Charles was associated with Aegis Capital, Meyers Associates, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Charles Customer Complaints Michael Charles has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Three of Michael Charles’ 4 customer complaints were settled in favor of investors. One of Michael Charles’ customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Michael Charles A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that Michael Charles purchased a security with her knowledge and consent and made subsequent purchases of the same security without her knowledge or consent; client also alleged unsuitable recommendations were made. Michael Charles’ alleged mismanagement. Michael Charles’ alleged suitability, misrepresentation, and omissions. Customer alleged that Michael Charles engaged in a myriad of wrongful acts including fraud and churning. Michael Charles Red Flags & Your Rights As An Investor Of course, Michael Charles did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Charles at Craft Capital Management, Aegis Capital, Meyers Associates, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Charles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management, Aegis Capital, Meyers Associates, and National Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Craft Capital Management Due To Michael Charles If you have questions about Craft Capital Management, Aegis Capital, Meyers Associates, National Securities, and/or Michael Charles and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Larry Cohen of Aegis Capital

DID LARRY OVADIA COHEN CAUSE YOU INVESTMENT LOSSES? Larry Cohen Of Aegis Capital And Formerly With Osprey Partners And Paulson Investment Company Has 2 Customer Complaints For Alleged Broker Misconduct Who is Larry Cohen of Aegis Capital? Larry Cohen (CRD #3191796) who is currently registered with Aegis Capitaland located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Larry Cohen was associated with Osprey Partners, Paulson Investment Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Larry Cohen Customer Complaints Larry Cohen has been the subject of 2 customer complaints that we know about. One of Larry Cohen’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Osprey Partners for investment losses caused by Larry Cohen’s alleged misconduct. Allegations Against Larry Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A group of claimants alleged that Larry Cohen failed to make material disclosures regarding the claimants’ investments in two real estate projects. Client alleged that Larry Cohen executed trades in his account without his authorization. Larry Cohen Red Flags & Your Rights As An Investor Of course, Larry Cohen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Larry Cohen at Aegis Capital, Osprey Partners, and Paulson Investment Company on alert to review carefully the activity and performance of their accounts and question whether Larry Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, Osprey Partners, and Paulson Investment Company also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Larry Cohen If you have questions about Aegis Capital, Osprey Partners, Paulson Investment Company, and/or Larry Cohen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Christopher Norton formerly with I-Bankers Direct

DID CHRISTOPHER TODD NORTON CAUSE YOU INVESTMENT LOSSES? Christopher Norton Formerly With I-Bankers Direct, Aegis Capital, And IAA Financial Has A Customer Complaint For Alleged Broker Misconduct Who is Christopher Norton formerly with I-Bankers Direct? Christopher Norton (CRD #5386000) who was formerly registered with I‑Bankers Direct and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to I‑Bankers Direct, Christopher Norton was associated with Aegis Capital, IAA Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Norton Customer Complaint Christopher Norton has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were excessive and unsuitable trading, false and misleading statements. Christopher Norton’s customer complaint was settled in favor of the investors. Christopher Norton Red Flags & Your Rights As An Investor Of course, Christopher Norton did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Norton at I-Bankers Direct, Aegis Capital, and IAA Financial on alert to review carefully the activity and performance of their accounts and question whether Christopher Norton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at I-Bankers Direct, Aegis Capital, and IAA Financial also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At I-Bankers Direct Due To Christopher Norton If you have questions about I-Bankers Direct, Aegis Capital, IAA Financial, and/or Christopher Norton and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Michael Mosslih of Aegis Capital

DID MICHAEL MOSSLIH CAUSE YOU INVESTMENT LOSSES? Michael Mosslih Of Aegis Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Mosslih of Aegis Capital? Michael Mosslih (CRD #4662400) who is currently registered with Aegis Capital and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Michael Mosslih Customer Complaints Michael Mosslih has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Michael Mosslih’s 4 customer complaints was settled in favor of investors. Two of Michael Mosslih’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Michael Mosslih’s alleged misconduct. Allegations Against Michael Mosslih A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged stop loss orders were not placed by Michael Mosslih. Client claims unauthorized trade on stock QLGC allegedly made by Michael Mosslih. Customer claims Michael Mosslih allegedly promised one point stop loss on OXGN which was never entered. Claimant alleged Michael Mosslih’s unsuitability, breach of contract, breach of fiduciary duty. Michael Mosslih Red Flags & Your Rights As An Investor Of course, Michael Mosslih did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Mosslih at Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Michael Mosslih has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Michael Mosslih If you have questions about Aegis Capital and/or Michael Mosslih and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Dennis Herrera of Aegis Capital

DID DENNIS DANIEL HERRERA CAUSE YOU INVESTMENT LOSSES? Dennis Herrera Of Aegis Capital And Formerly With Laidlaw & Company (UK) Has 5 Customer Complaints For Alleged Broker Misconduct Who is Dennis Herrera of Aegis Capital? Dennis Herrera (CRD #4618370) who is currently registered with Aegis Capital and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Dennis Herrera was associated with Laidlaw & Company (UK) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dennis Herrera Customer Complaints Dennis Herrera has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Dennis Herrera’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Dennis Herrera’s alleged misconduct. Allegations Against Dennis Herrera A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client felt commissions overcharged in light of account lost value allegedly by Dennis Herrera. Client alleged that he never authorized a stop loss order to be entered by Dennis Herrera. Customer alleged Dennis Herrera’s (1) excessive and unsuitable trading strategy and (2) misrepresentation of private placement. Current employer does not have copy of complaint. Claimant alleged allegedly by Dennis Herrera’s unsuitability, breach of contract, breach of fiduciary duty. Unsuitable investments allegedly by Dennis Herrera. Dennis Herrera Red Flags & Your Rights As An Investor Of course, Dennis Herrera did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dennis Herrera at Aegis Capital and Laidlaw & Company (UK) on alert to review carefully the activity and performance of their accounts and question whether Dennis Herrera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Laidlaw & Company (UK) also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Dennis Herrera If you have questions about Aegis Capital, Laidlaw & Company (UK), and/or Dennis Herrera and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Johnny Guan of Aegis Capital

DID JOHNNY GUAN CAUSE YOU INVESTMENT LOSSES? Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Johnny Guan of Aegis Capital? Johnny Guan (CRD #5711977) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Johnny Guan Customer Complaints Johnny Guan has been the subject of 2 customer complaints that we know about. Both of Johnny Guan’s 2 customer complaints were settled in favor of investors. Allegations Against Johnny Guan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Johnny Guan’ alleged unsuitable investment recommendations, misrepresentations, negligence. Claimants alleged Johnny Guan’s unsuitable investment recommendations, over concentration, unauthorized transactions, breach of fiduciary duty. Johnny Guan Red Flags & Your Rights As An Investor Of course, Johnny Guan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Johnny Guan at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Johnny Guan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Johnny Guan If you have questions about Aegis Capital, National Securities, and/or Johnny Guan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 4, 2022

Danny Sookram of Equitable Advisors

DID DANNY SHIVA SOOKRAM CAUSE YOU INVESTMENT LOSSES? Danny Sookram Of Equitable Advisors And Formerly With Aegis Capital Has A Customer Complaint For Alleged Broker Misconduct Who is Danny Sookram of Equitable Advisors? Danny Sookram (CRD #6113338) who is currently registered with Equitable Advisors and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Danny Sookram was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Danny Sookram Customer Complaint Danny Sookram has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations, breach of contract, breach of fiduciary duty. The customer complaint filed against Danny Sookram’s former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Danny Sookram Red Flags & Your Rights As An Investor Of course, Danny Sookram did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Danny Sookram at Equitable Advisors and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Danny Sookram has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors and Aegis Capital also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors Due To Danny Sookram If you have questions about Equitable Advisors, Aegis Capital, and/or Danny Sookram and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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