Articles Tagged with Aegis Capital

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Daniel Schapiro

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New York-based Aegis Capital broker Daniel Schapiro has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schapiro (CRD# 2335244).

Dan Schapiro has spent 23 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since August 2017. Previous registrations include National Securities Corporation in Seattle, Washington; JP Turner & Company in Atlanta, Georgia; Northeast Securities in Mitchelfield, New York; Broadband Capital Management in New York, New York; Dalton Kent Securities Group in New York, New York; Argent Securities in Atlanta, Georgia; Monroe Parker Securities in Purchase, New York; and Biltmore Securities in Fort Lauderdale, Florida. He is a registered broker with four US states: California, Florida, New Jersey and New York.

According to his BrokerCheck report, he has received five customer complaints.

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Frank GiacalonePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2017 indicate that New York-based Aegis Capital broker Frank Giacalone has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Giacalone (CRD# 4314174).

Frank Giacalone has spent 16 years in the securities industry and has been registered with Aegis Capital in Melville, New York since 2012. Previous registrations include Obsidian Financial Group in Woodbury, New York; Empire Financial Group in Uniondale, New York; Ehrenkrantz King Nussbaum in Melville, New York; Ehrenkrantz King Nussbaum in New York, New York; and Weatherly Securities Corporation in New York, New York. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 21 US states and territories: Arkansas, California, Colorado, Florida, Illinois, Indiana, Kansas, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, and Wisconsin.

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

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Todd Ellentuck

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 28, 2017 indicate that New Jersey-based Aegis Capital broker/adviser Todd Ellentuck has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ellentuck (CRD# 1321452).

Todd Ellentuck has spent 32 years in the securities industry and has been registered with Aegis Capital in Morristown, Pennsylvania since 2016. Previous registrations include UBS Financial Services in Florham Park, New York; Morgan Stanley Smith Barney in Morristown, New Jersey; Morgan Stanley & Company in Morristown, New Jersey; RBC Dain Rauscher in West Paterson, New Jersey; First Institutional Securities in West Paterson, New Jersey; Broadway Financial Investment Services; Glickenhaus & Company; Liss Tenner & Goldberg Securities; and Liss Tenner & Goldberg. He is a registered broker and investment adviser with five US states: California, Florida, Maryland, New Jersey and New York.

According to his BrokerCheck report, Todd Ellentuck has received a pending customer complaint and was discharged from a former employer.

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shutterstock_105422975The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based Aegis broker David Drucker (CRD# 1425062).

David Drucker has spent 22 years in the securities industry and has been registered with Aegis Capital in New York, New York since 2011. Previous registrations include Oppenheimer & Company in New York, New York (2008-2011); RBC Capital Markets in New York, New York (2003-2008); Morgan Stanley DW in Purchase, New York (1998-2003); Gruntal & Company in New York, New York (1994-1998); and Whale Securities in New York, New York (1992-1994). Mr. Drucker is registered in fourteen US states.

According to his BrokerCheck report, David Drucker is the subject of four customer complaints and one pending customer complaint.