Published on:

Customer Alleges Sergio Rovner Made Unauthorized Trades

Sergio Rovner

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Aegis Capital Corporation broker Sergio Rovner has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rovner (CRD# 2884441).

Sergio Rovner has spent 19 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since 2014. Previous registrations include Rockwell Securities in New York, New York (2007-2014); Andrew Garrett Inc. in Uniondale, New York (2007); SW Bach & Company in Port Washington, New York (2000-2007); Morgan Taylor & Associates in Mineola, New York (1999); Capital International Securities Group in Miami, Florida (1998-1999); Wolff Investment Group in New York, New York (1998); WJ Nolan & Company in New York, New York (1997); and First United Equities Corporation in New York, New York (1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 3, 1997; Series 7 (General Securities Representative Examination), which he obtained on August 26, 1997; and Series 24 (General Securities Principal Examination), which he obtained on January 19, 1999. He is a registered broker with 27 US states and territories.

According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.

In February 2018 a customer alleged Sergio Rovner, while employed at Aegis Capital Corporation, executed unauthorized trades and made unsuitable investment recommendations. The customer is seeking $32,398 in damages in the pending complaint.

In 2005 the National Association of Securities Dealers sanctioned him in connection to allegations he participated in a pattern of excessive trading in a public customer’s account. He was issued a 30-day suspension and a fine of $10,000.

In 2004 a customer alleged Sergio Rovner, while employed at SW Bach & Company, recommended investments that performed poorly and failed to enter a stop-limit order on certain holdings. The complaint settled for $4,810.

In 2003 a customer alleged Sergio Rovner, while employed at SW Bach & Company, over-charged commissions. The complaint settled for $35,000.

In 2002 a customer alleged he, while employed at SW Bach & Company, executed unauthorized trades. The complaint settled for $78,000.

In 1999 a customer alleged he, while employed at WJ Nolan, recommended unsuitable investments, acted negligently, and breached his fiduciary duty. The complaint settled in 2000 for $40,000.

If you have complaints regarding Sergio Rovner, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.