• Robert Buffington, Formerly of Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
• Thomas Kelly Jr., Broker with Aegis Capital, Named in Multiple Customer Disputes Alleging Unsuitable Investment Recommendations
• Steven Luftschein, Formerly of Aegis Capital, Accused by FINRA of Churning and Unauthorized Trading
• Alan Appelbaum, Broker for Aegis Capital, Involved in Multiple Customer Disputes Alleging Unsuitability
• Broker Michael Fasciglione is Accused of Offering Unsuitable GPB Capital Holdings Investments