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Articles Tagged with Aegis Capital Corp.

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Nick Son (CRD #1178523) has been employed with Aegis Capital Corp since August 2014 and was also registered with Aegis from March 2010 to April 2011.  Previous employment includes Alexander Capital, L.P. from March 2012 to August 2014, WTS Proprietary trading Group LLC from December 2011 to June 2012, Gunnallen Financial, Inc. form July 2002 to March 2010, Investprivate, Inc. from June 2001 to July 2002, Josephthal & Co., Inc. from July 1998 to May 2001, JW Charles Securities, Inc. from May 1997 to August 1997, Whale Securities Co., L.P. from September 1996 to May 1997 and State Capital Markets Corporation from December 1995 to September 1996.

According to the FINRA BrokerCheck, there have been complaints against Nick Son.

Margin-Account-Guidelines-300x200In 1996, while employed by State Capital Markets Corporation, Client alleges the stock offering from Cable and Fun Tyme were not registered in Texas; The sale of non-registered stock is a violation of Texas State securities Act 7A and is therefore illegal.  Complaint was settled for $14,500.00.

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Dominick Joseph Diorio, Jr. (CRD #2447817) is a registered broker currently employed with Aegis Capital Corp. (CRD #15007) of Melville, NY. He was previously employed with Global Arena Capital Corp (CRD #16871) of New York, NY, Prestige Financial Center, Inc. (CRD #30407), also of Melville, and S.W. Bach & Company (CRD #43522), of Port Washington, NY. Five of his previous employers have been expelled by FINRA. He has been in the industry since 1995.

Be on the Lookout: 3 Common Signs of an Investment Scam on elderfinancialfraudattorneys.comDiorio is the subject of four disclosures, the most recent filed on 2/12/2018. In it, the client alleges “unauthorized trading and unsuitable investment recommendations,” and requests damages of $769,690.00. Diorio steadfastly denies the charges. This case is currently pending.

A previous customer dispute filed on 9/29/2017 has similar allegations of an “unsuitable investment strategy” during the period of December 2012 through July of 2017. Diorio also denies the allegations, and explained reasons why the case wasn’t valid including the investment savvy of the customer. On the advice of counsel, Diorio and the firm settled this claim for a total of $837,500.00 instead of risking higher damages and expenses on a hearing and possibly a trial.

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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
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