NASD Rule 2510(b)

Aegis Capital Broker Gilbert Kuta Suspended by FINRA – Timonium, MD

Published on: July 29, 2021 | by Iorio Altamirano

**Update: November 11, 2021** On November 8, 2021, Aegis Capital Corp agreed to pay nearly $2.7 million in sanctions for supervisory failures related to excessive and unsuitable trading by its brokers from July 2014 through December 2018. Click on the following link to read more: Aegis Capital Corp. Ordered to Pay Nearly $2.7 Million for Supervisory Failures Related to Rampant Excessive and Unsuitable Trading

Customers of Aegis Capital, including customers that have been notified that they may be receiving restitution, should consult with a securities arbitration law firm. If you or a loved one were a customer of Aegis Capital, contact New York securities arbitration law firm Iorio Altamirano LLP for a free and confidential consultation and review of your legal rights.

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Former RBC Capital Markets Broker Scott Fergang Suspended by FINRA – Paramus, New Jersey

Published on: May 3, 2021 | by Iorio Altamirano

FINRA has suspended former RBC Capital Markets broker Scott Fergang from the securities industry for 15 business days for exercising discretion without written authorization in approximately four customer accounts. The suspension is scheduled to start on May 17, 2021, and end on June 7, 2021. Fergang was also fined $5,000.

If you have lost money with Scott Fergang, or RBC Capital Markets, contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Iorio Altamirano LLP represents investors in disputes with their financial advisors or brokerage firms, such as RBC Capital Markets.

Cadaret Grant Broker Paul Spero Suspended by FINRA – Liverpool, New York

Published on: May 3, 2021 | by Iorio Altamirano

FINRA has suspended Cadaret, Grant & Co., Inc. broker Paul Spero from the securities industry for 15 business days for exercising discretion without written authorization in approximately 70 customer accounts. The suspension is scheduled to start on May 17, 2021, and end on June 7, 2021.

Spero was also fined $5,000.

If you have lost money with Paul Spero, or Cadaret, Grant & Co., Inc., contact FINRA arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Former Insigneo Broker Ignacio Erhart Del Campo Suspended by FINRA – Miami, FL

Published on: April 2, 2021 | by Iorio Altamirano

FINRA has suspended former Insigneo broker Ignacio Erhart Del Campo from the securities industry for 2 months for exercising discretion in a customer’s account without proper authorization and engaging in unauthorized trading. Erhart Del Campo was also fined $7,500 and ordered to pay restitution of $19,189 plus interest.

If you have lost money with Ignacio Erhart Del Campo, or Insigneo, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

FINRA Letter of Acceptance, Waiver, and Consent (“AWC”)