Aegis Capital’s Underwriter Scandal and Investor Recovery Options 2024

Investors at Aegis Capital, a retail brokerage firm, have alleged fraud and misrepresentation of investments, which reportedly caused them to lose billions. But that’s not all. Aegis also serves as an underwriter, and since 2010, it has been the sole underwriter of 186 offerings for 111 issuers, totaling $1.9 billion. Many of the stocks issued […]

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Sue Financial Advisor, Investment Fraud Lawyers

Andrew Brookman and LPL Financial Investigated

Understanding the Allegations In the world of investment, allegations of misconduct or negligence can be incredibly damaging for both investors and brokers. In this case, a customer dispute has arisen, with the claimant alleging that the representative failed to properly diversify her investment portfolio from April 2021 to April 2022. This alleged failure has purportedly

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UBS Advisor Lands $1mm Investor Complaint

Aegis Advisor’s Clients Named as GWG Creditors

The financial world is one of constant change, with investments that seem lucrative one-day posing severe risks the next. Consider, for instance, the case of GWG Holdings’ preferred stock. Is it possible that those who invested heavily in this opportunity were misled, or were they simply taking a calculated risk? And who is to be

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Aegis Capital Corp Fined $2.8M For Excessive Trading and Unsuitability

Established in 1984, Aegis Capital Corporation is a comprehensive retail and institutional broker-dealer headquartered in New York. They provide a broad spectrum of investment products and services as brokers and advisors. The firm recently faced sanctions from the Financial Industry Regulatory Authority (FINRA), triggered both by a client’s complaint of churning and a subsequent internal

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Retiree Recovers Full GWG L Bonds Investment Through FINRA Claim

A woman retiree has been successful in recovering part of her investment in the GWG L Bonds of GWG Holdings. The company is now under Chapter 11 bankruptcy protection, with as many as 17,000 investors facing the prospect of losing a large part of their investment. It was alleged in the claim that the illiquid,

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