FINRA Examines Claim Against Aegis Broker James Mariani For Negligence
James J. Mariani (CRD #2932631) is a currently registered broker with Aegis Capital Corp. (CRD #15007) of Bayside, New York. He has been with Aegis for less than one year. His previous employers include:
- National Securities Corporation (CRD #7569) of Mineola, NY
- First Montauk Securities Corp. (CRD #13755) of Port Washington, NY
- Oppenheimer & Co. Inc. (CRD #249)
Mariani has been in the industry since 1998.
A client FINRA arbitration was filed on 04/03/2018, alleging “unsuitability, breach of fiduciary duty, negligence.” The client is requesting damages in the amount of $432,020.69, and the case is currently pending.
Mariani has 5 previous customer dispute disclosures, which were either settled with member firms, denied or closed without action. Mariani was at National Securities Corporation until September 2017 when he became a stockbroker at Aegis Capital Corp.
In 2005, Mariani was the subject of a regulatory suspension for doing “mutual fund switching” in a customer’s account that were not suitable for her investment objectives. He was fined $15,000, which included $5,000 of “disgorgement,” and a 30-day suspension from any activity with an NASD member firm.
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