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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.

Did You Invest With James Mariani?

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  Most cases handled on a contingent fee basis. This means that you won’t any pay legal fees unless we are successful. Call us toll free at 800-975-4345, or use our online contact form to get in touch.

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