{"id":9408,"date":"2020-10-05T10:34:44","date_gmt":"2020-10-05T14:34:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9408"},"modified":"2020-10-05T10:34:44","modified_gmt":"2020-10-05T14:34:44","slug":"aegis-financial-broker-robert-buffington-facing-multiple-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/aegis-financial-broker-robert-buffington-facing-multiple-allegations\/","title":{"rendered":"Aegis Financial Broker Robert Buffington Facing Multiple Allegations"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9409 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/10\/Robert-Buffington.jpg\" alt=\"Robert Buffington (CRD#:5220332) is a previously registered broker whose last employer was Aegis Capital Corp. (CRD# 15007) of New York, NY. Prior employers include Gunnallen Financial, Inc (CRD#:17609), Maxim Group LLC (CRD#:120708) and Bear, Stearns &amp; Co. Inc. (CRD#:79), all of New York. He has been in the industry since 2007. No current employment information is available. Buffington is the subject of four disclosures, all customer disputes. The most recent was filed on 3\/9\/2020, with allegations of unsuitability, and breaches of contract and fiduciary duty in an unspecified time frame. This dispute requests damages of $642,224.00. Two previous disputes were filed on 1\/17\/2020 and 1\/21\/2020, respectively. Both contain allegations of unsuitability, churning, common law fraud, and breaches of contract and fiduciary duty. The dispute filed on 1\/17 claims a timeframe of November 2018 through the present. The other dispute has an unspecified time frame. All three of these disputes are pending.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/10\/Robert-Buffington.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/10\/Robert-Buffington-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Robert Buffington (CRD#:<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5220332\" target=\"_blank\">5220332<\/a>) is a previously registered broker whose last employer was Aegis Capital Corp. (CRD# 15007) of New York, NY. Prior employers include Gunnallen Financial, Inc (CRD#:17609), Maxim Group LLC (CRD#:120708) and Bear, Stearns &amp; Co. Inc. (CRD#:79), all of New York. He has been in the industry since 2007. No current employment information is available. <a href=\"https:\/\/www.silverlaw.com\/blog\/aegis-financial-broker-robert-buffington-facing-multiple-allegations\/#more-9408\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Robert Buffington (CRD#:5220332) is a previously registered broker whose last employer was Aegis Capital Corp. (CRD# 15007) of New York, NY. Prior employers include Gunnallen Financial, Inc (CRD#:17609), Maxim Group LLC (CRD#:120708) and Bear, Stearns &amp; Co. Inc. (CRD#:79), all of New York. He has been in the industry since 2007. No current employment information [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,580],"tags":[],"class_list":["post-9408","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Aegis Financial Broker Robert Buffington Facing Multiple Allegations &#8212;<\/title>\n<meta name=\"description\" content=\"Robert Buffington, a previously registered broker whose last employer was Aegis Capital Corp. of New York, NY, is subject of 4 disclosures.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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