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

Robert Buffington of Aegis Capital Corp.

DID ROBERT BUFFINGTON CAUSE YOU INVESTMENT LOSSES? Robert Buffington formerly with Aegis Capital Corp. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Robert Buffington formerly with Aegis Capital Corp.? Robert Buffington (CRD #5220332) who was formerly 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., Robert Buffington was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Robert Buffington has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Robert Buffington’s 4 customer complaints were settled in favor of investors: $335,000; $315,000; and $136,982. There is currently 1 pending customer complaint filed against Robert Buffington’s employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Robert Buffington A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: A Phoenix, Arizona investor alleged unsuitability, churning, fraud, breach of fiduciary duty, and breach of contract. A Philadelphia, Pennsylvania investor alleged that Robert Buffington made unsuitable recommendations, committed common law fraud, engaged in churning in breach of contract and his fiduciary duty to the customer. The claimant alleged unauthorized trading and unsuitable investment recommendations. The customer residing in New York, New York alleged unsuitability, breach of contract, and breach of fiduciary duty in a complaint recently filed. Robert Buffington Red Flags & Your Rights as An Investor Of course, Robert Buffington 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 Robert Buffington at Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Robert Buffington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Robert Buffington also raises questions about its 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. If you have questions about Aegis Capital Corp. and/or Robert Buffington 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

Joseph Valdini Formerly With Aegis Capital

DID JOSEPH FRANCIS VALDINI CAUSE YOU INVESTMENT LOSSES? Joseph Valdini Formerly With Aegis Capital And Worden Capital Management Has 3 Customer Complaints For Alleged Broker Misconduct Who is Joseph Valdini formerly with Aegis Capital? Joseph Valdini (CRD #5517610) who was formerly registered with Aegis Capitaland located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Joseph Valdini was associated with Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems Joseph Valdini Customer Complaints Joseph Valdini has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Joseph Valdini’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Worden Capital Management for investment losses caused by Joseph Valdini’s alleged misconduct. Allegations Against Joseph Valdini A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Churning/excessive trading; common law fraud; NY Consumer Protection Act violations; breach of fiduciary duty; breach of contract; negligence, negligent misrepresentation and omissions; and negligent supervision allegedly by Joseph Valdini. Joseph Valdini’s alleged Negligence, Violations of the New Jersey Uniform Securities Law, Breach of Fiduciary Duty, Breach of Contract, Respondeat Superior. Unauthorized trade placed, with subsequent margin call sellouts, resulting in loss to the client allegedly made by Joseph Valdini. Joseph Valdini Red Flags & Your Rights As An Investor Of course, Joseph Valdini 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 Joseph Valdini at Aegis Capital and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Joseph Valdini has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Worden Capital Management 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 Joseph Valdini If you have questions about Aegis Capital, Worden Capital Management, and/or Joseph Valdini and the management or performance of your accounts, please contact 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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Mar 4, 2022

Vincent Sharpe of PHX Financial

DID VINCENT ANTHONY SHARPE CAUSE YOU INVESTMENT LOSSES? Vincent Sharpe Of PHX Financial And Formerly With Aegis Capital And National Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Vincent Sharpe of PHX Financial? Vincent Sharpe (CRD #5435813) who is currently registered with PHX Financial and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Vincent Sharpe was associated with Aegis Capital, National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vincent Sharpe Customer Complaints Vincent Sharpe has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Vincent Sharpe’s 2 customer complaints were settled in favor of investors. Allegations Against Vincent Sharpe 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 misrepresentation or misleading information and churning/excessive trading by Vincent Sharpe. Vincent Sharpe’s alleged unsuitability, unauthorized trading, churning, misrepresentation, negligence, breach of contract, breach of fiduciary duty, omission of material facts. Vincent Sharpe Red Flags & Your Rights As An Investor Of course, Vincent Sharpe 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 Vincent Sharpe at PHX Financial, Aegis Capital, and National Securities on alert to review carefully the activity and performance of their accounts and question whether Vincent Sharpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PHX Financial, 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 PHX Financial Due To Vincent Sharpe If you have questions about PHX Financial, Aegis Capital, National Securities, and/or Vincent Sharpe 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

Joseph Rozof of Revere Securities

DID JOSEPH W. ROZOF CAUSE YOU INVESTMENT LOSSES? Joseph Rozof Of Revere Securities And Formerly With Aegis Capital, Laidlaw & Company (UK) And National Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Joseph Rozof of Revere Securities? Joseph Rozof (CRD #5274784) who is currently registered with Revere Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Revere Securities, Joseph Rozof was associated with Aegis Capital, Laidlaw & Company (UK), National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joseph Rozof Customer Complaint Joseph Rozof has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleged unsuitable investment recommendations. Joseph Rozof’s customer complaint was settled in favor of the investors. Joseph Rozof Red Flags & Your Rights As An Investor Of course, Joseph Rozof 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 Joseph Rozof at Revere Securities, Aegis Capital, Laidlaw & Company (UK), and National Securities on alert to review carefully the activity and performance of their accounts and question whether Joseph Rozof has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Revere Securities, Aegis Capital, Laidlaw & Company (UK), and National 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 Revere Securities Due To Joseph Rozof If you have questions about Revere Securities, Aegis Capital, Laidlaw & Company (UK), National Securities, and/or Joseph Rozof 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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Feb 18, 2022

Anthony Diminno formerly with Aegis Capital Corp.

DID ANTHONY P. DIMINNO CAUSE YOU INVESTMENT LOSSES? Anthony Diminno Formerly With Aegis Capital Corp. Has A Customer Complaint For Alleged Broker Misconduct Who is Anthony Diminno formerly with Aegis Capital Corp.? Anthony Diminno (CRD #5935673) who was formerly registered with Aegis Capital Corp. and located in Bronxville, New York is a subject of one of our many securities industry sales practice abuse investigations. Anthony Diminno Customer Complaint Anthony Diminno 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 that the financial advisor failed to follow client’s instructions. Anthony Diminno’s customer complaint was denied and, to date, the customer has not taken any further action. Anthony Diminno Red Flags & Your Rights As An Investor Of course, Anthony Diminno 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 Anthony Diminno at Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Anthony Diminno has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. 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 Corp. Due To Anthony Diminno If you have questions about Aegis Capital Corp. and/or Anthony Diminno 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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Feb 17, 2022

Anthony Pucci of Craft Capital Management LLC

DID ANTHONY JOHN ROBERT PUCCI CAUSE YOU INVESTMENT LOSSES? Anthony Pucci Of Craft Capital Management LLC And Formerly With Aegis Capital Corp., First Standard Financial Company LLC And Laidlaw & Company (UK) Ltd. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Anthony Pucci of Craft Capital Management LLC? Anthony Pucci (CRD #6120523) who is currently registered with Craft Capital Management LLC and located in Garden City, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Craft Capital Management LLC, Anthony Pucci was associated with Aegis Capital Corp., First Standard Financial Company LLC, Laidlaw & Company (UK) Ltd. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Anthony Pucci Customer Complaints Anthony Pucci has been the subject of2 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. One of Anthony Pucci’s 2 customer complaints was settled in favor of investor. There is currently 1 pending customer complaint filed against Anthony Pucci’s former employer Aegis Capital Corp. for investment losses caused by the alleged misconduct. Allegations Against Anthony Pucci A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations and strategy in breach of fiduciary duty and contract. Unsuitable investment recommendations. Anthony Pucci Red Flags & Your Rights As An Investor Of course, Anthony Pucci 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 Anthony Pucci at Craft Capital Management LLC, Aegis Capital Corp., First Standard Financial Company LLC, and Laidlaw & Company (UK) Ltd. on alert to review carefully the activity and performance of their accounts and question whether Anthony Pucci has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Craft Capital Management LLC, Aegis Capital Corp., First Standard Financial Company LLC, and Laidlaw & Company (UK) Ltd. 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 LLC Due To Anthony Pucci If you have questions about Craft Capital Management LLC, Aegis Capital Corp., First Standard Financial Company LLC, Laidlaw & Company (UK) Ltd. and/or Anthony Pucci 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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Jan 20, 2022

Rick Davidson of Aegis Capital

DID RICK ALAN DAVIDSON CAUSE YOU INVESTMENT LOSSES? Rick Davidson of Aegis Capital and Formerly with National Securities, Jefferies, and Morgan Stanley, Has 8 Customer Complaints for Alleged Broker Misconduct Who is Rick Davidson of Aegis Capital? Rick Davidson (CRD #1315998) who is currently registered with Aegis Capitaland located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Rick Davidson was associated with National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Rick Davidson Customer Complaints Rick Davidson has been the subject of 8 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. Six of Rick Davidson’s 8 customer complaints were settled in favor of investors. One of Rick Davidson’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against National Securities for investment losses caused by Rick Davidson’s alleged misconduct. Allegations Against Rick Davidson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleged unsuitability with respect to investment recommendations made by Rick Davidson. The client alleges Rick Davidson did not fully disclose the return on the investment. The client claims the purchase of bond position was unauthorized and was not a suitable investment allegedly recommended by Rick Davidson. The client verbally alleged, among other things, unauthorized trading by Rick Davidson with respect to corporate bond investments. It is alleged that Rick Davidson engaged in unauthorized transactions. Rick Davidson’s client alleged suitability & misrepresentation. Rick Davidson’s client alleged suitability and misrepresentation. Unsuitable investment recommendations allegedly made by Rick Davidson. Rick Davidson Red Flags & Your Rights as an Investor Of course, Rick Davidson 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 that should put all current and former customers of Rick Davidson at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Rick Davidson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, and Morgan Stanley 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 Rick Davidson If you have questions about Aegis Capital, National Securities, National Asset Management, Jefferies, Jefferies Investment Advisers, Morgan Stanley, and/or Rick Davidson 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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Jan 20, 2022

Alan Appelbaum of Aegis Capital

DID ALAN ZELIG APPELBAUM CAUSE YOU INVESTMENT LOSSES? Alan Appelbaum of Aegis Capital and Formerly with Herbert J. Sims & Co Has 13 Customer Complaints for Alleged Broker Misconduct Who is Alan Appelbaum of Aegis Capital? Alan Appelbaum (CRD #500336) who is currently registered with Aegis Capitaland located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Alan Appelbaum was associated with Herbert J. Sims & Co and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alan Appelbaum has had his own share of regulatory problems.  He was the subject of investigations by the State of New Hampshire, FINRA F/K/A NASD, and United States Securities and Exchange Commission. All three government agencies censured and/or fined him for alleged stockbroker misconduct. Alan Appelbaum Customer Complaints Alan Appelbaum has been the subject of 13 customer complaints that we know about. One Alan Appelbaum’s 13 customer complaints resulted in an arbitration award in favor of the investors. Eight of Alan Appelbaum’s 13 customer complaints were settled in favor of investors. Two of Alan Appelbaum’s customer’s complaints were denied and the customers did not take any further action. There are currently two pending customer complaints filed against Aegis Capital for investment losses caused by Alan Appelbaum’s alleged misconduct. Allegations Against Alan Appelbaum A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimants alleged failure to recognize that change in circumstances and desire to pursue a low-risk conservative strategy, unsuitable trading in proprietary investments and structured products by Alan Appelbaum. The client alleged an unsuitable product and churning by Alan Appelbaum. The client alleges breach of fiduciary duty, negligence, fraud, breach of contract, and violation of NASD and FINRA rules by Alan Appelbaum. Multiple clients expressed dissatisfaction with the recommendation of various municipal bonds allegedly made by Alan Appelbaum. The customer alleges negligence, breach of fiduciary duty, and improper management and monitoring of his account by Alan Appelbaum. The customer feels broker’s mark-up on bonds were excessive. Improper conduct allegedly by Alan Appelbaum. Alan Appelbaum’s client alleged fraud; negligent misrepresentation; strict liability misrepresentation; unsuitability; and common law breach of fiduciary duty. Another client alleged Alan Appelbaum’s recommendations were not consistent with the clients’ investment goals and objectives. Purchases of high yield bonds were contrary to his investment objectives allegedly made by Alan Appelbaum. Alan Appelbaum allegedly made unsuitable investment recommendations. The claimant alleges unsuitability and unauthorized transactions by Alan Appelbaum. Alan Appelbaum Red Flags & Your Rights as an Investor Of course, Alan Appelbaum 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 that should put all current and former customers of Alan Appelbaum at Aegis Capital and Herbert J. Sims & Co on alert to review carefully the activity and performance of their accounts and question whether Alan Appelbaum has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Herbert J. Sims & Co 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 Alan Appelbaum If you have questions about Aegis Capital, Herbert J. Sims & Co, and/or Alan Appelbaum 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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