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FINRA Awards for Aegis Capital Corp.

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Displaying 21-30 out of 53 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0141907/15/2021Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
20-0322007/15/2021Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Hunter Scott Financial LLC., John Thomas Financial
Respondent Lawyers(s): Corporate Office, Kevin Meade, Peter Gouzos
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
20-0305405/11/2021Claimant(s): Gerald Sharpe
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Martin R. Cramer
Hearing Site: Jersey City, NJ
20-0228204/19/2021Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Blackbook Capital, Charles Vista LLC, Hunter Scott Financial LLC, John Thomas Financial
Respondent Lawyers(s): Anthony C. Naccarelli, Franklin Ogele, Gregg Lorenzo, Maria Cummings, Peter Gouzos
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
20-0151303/29/2021Claimant(s): Arthur Lewis
Claimant Lawyers(s): Joshua Katz
Respondent(s): CIBC World Markets Corp., Oppenheimer & Co.., Aegis Capital Corp.
Respondent Lawyers(s): Elizabeth R. Aylett, Justin D. Dickinson, Timothy Treble
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
20-0208102/03/2021Claimant(s): Dominick Diorio
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
20-0129801/12/2021Claimant(s): Christopher Knutson
Claimant Lawyers(s): Harry Meyer
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
20-0094312/02/2020Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
20-0093511/20/2020Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
20-0105211/12/2020Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY

53 Results

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