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 8, 2022

Pratul Agnihotri Of SW Financial

DID PRATUL VICTOR AGNIHOTRI CAUSE YOU INVESTMENT LOSSES? Pratul Agnihotri Formerly With SW Financial, Spartan Capital Securities, Aegis Capital Has 3 Customer Complaints For Alleged Broker Misconduct Who is Pratul Agnihotri of SW Financial? Pratul Agnihotri (CRD #4031797) who is currently registered with SW Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Pratul Agnihotri was associated with Aegis Capital, Spartan Capital Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Pratul Agnihotri has also been the subject of a FINRA investigation which resulted in a 12 month suspension and the $7,500 fine for allegedly engaging in outside business activities without notifying his employer in violation of the FINRA code of conduct. Pratul Agnihotri Customer Complaints Pratul Agnihotri has been the subject of 3 customer complaints that we know about. One of Pratul Agnihotri’s 3 customer complaints was settled in favor of investors. One of Pratul Agnihotri’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Pratul Agnihotri’s alleged misconduct. Allegations Against Pratul Agnihotri 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 Pratul Agnihotri engaged in unauthorized trading. Claimant alleged Pratul Agnihotri’s unauthorized trading, failure to follow instructions, negligence, selling away, breach of fiduciary duty. Claimant alleged Pratul Agnihotri engaged in unauthorized trading, excessive commissions. Pratul Agnihotri Red Flags & Your Rights As An Investor Of course, Pratul Agnihotri 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 Pratul Agnihotri at SW Financial, Aegis Capital, and Spartan Capital Securities on alert to review carefully the activity and performance of their accounts and question whether Pratul Agnihotri has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Aegis Capital, and Spartan Capital 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 SW Financial Due To Pratul Agnihotri If you have questions about SW Financial, Aegis Capital, Spartan Capital Securities, and/or Pratul Agnihotri 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

Cory Bataan formerly with Aegis Capital

DID CORY D BATAAN CAUSE YOU INVESTMENT LOSSES? Cory Bataan Formerly With Aegis Capital Has 5 Customer Complaints For Alleged Broker Misconduct Who is Cory Bataan formerly with Aegis Capital? Cory Bataan (CRD #2755223) 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. Cory Bataan has also been the subject of a FINRA investigation resulted in a 15 day suspension and a $5000 fine for allegedly exercising discretion customer accounts without written authorization from customers were obtaining his member firm’s written approval the accounts for discretionary trading. Cory Bataan Customer Complaints Cory Bataan 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 Cory Bataan’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 Cory Bataan’s alleged misconduct. Allegations Against Cory Bataan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations include churning, unsuitability, unauthorized trading, breach of fiduciary duty committed by Cory Bataan. Cory Bataan’s alleged unauthorized transaction. Claimant alleged unsuitable recommendations and excessive fees & commissions made by Cory Bataan. Statement of claim alleges unauthorized trading, margin violation, misrepresentation and suitability committed by Cory Bataan. Claimant alleges excessive and unsuitable trading, false and misleading statements by Cory Bataan. Cory Bataan Red Flags & Your Rights As An Investor Of course, Cory Bataan 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 Cory Bataan at Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Cory Bataan 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 Cory Bataan If you have questions about Aegis Capital and/or Cory Bataan 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

Nick Son Of National Securities

DID NICK EUGENE SON CAUSE YOU INVESTMENT LOSSES? Nick Son Of National Asset Management, National Securities And Formerly With Aegis Capital Has 4 Customer Complaints For Alleged Broker Misconduct Who is Nick Son of National Securities? Nick Son (CRD #1178523) who is currently registered with National Asset Management, National Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Asset Management, National Securities, Nick Son was associated with Aegis Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nick Son Customer Complaints Nick Son 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 Nick Son’s 4 customer complaints was settled in favor of investors. Two of Nick Son’s customer 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 Nick Son’s alleged misconduct. Allegations Against Nick Son 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 unsuitability, breach of contract, breach of fiduciary duty by Nick Son. Customer alleged that Nick Son violated his disclosed risk profile, didn’t respond to correspondence, and received biased and incomplete investment advice. Client alleged unspecified damages relating to use of margin, and unsuitable transactions by Nick Son. Claimant alleged unauthorized trading and unsuitable investment recommendations made by Nick Son. Nick Son Red Flags & Your Rights As An Investor Of course, Nick Son 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 Nick Son at National Asset Management, National Securities and Aegis Capital on alert to review carefully the activity and performance of their accounts and question whether Nick Son has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Asset Management, National Securities and 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 National Securities and Aegis Capital Due To Nick Son If you have questions about National Securities, National Asset Management, Aegis Capital, and/or Nick Son 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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