Articles Tagged with Aegis Capital Corporation

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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.

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Brian Court

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that New York-based Aegis Capital Corporation broker/adviser Brian Court has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Court (CRD# 2591547).

Brian Court has spent 23 years in the securities industry and has been registered with Aegis Capital Corporation in Melville, New York since 2014. Previous registrations include JP Turner & Company in Port Jefferson, New York (2010-2014); Gunnallen Financial in Port Jefferson, New York (2002-2010); Investec Ernst & Company in New York, New York (1999-2002); and Royce Investment Group in Woodbury, New York (1995-1999). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1995; Series 7 (General Securities Representative Examination), which he obtained on March 8, 1995; and Series 24 (General Securities Principal Examination), which he obtained on November 11, 1996. He is a registered broker and investment adviser with seven US states and territories: California, Florida, Maine, Massachusetts, New Jersey, New York, and North Carolina. He is registered with three self-regulatory organizations (SROs): FINRA, NYSE Arca, and the Nasdaq Stock Market.

According to his BrokerCheck report, he has received two customer complaints and two customer complaints that were closed.