GERRY SEIGEL – AEGIS CAPITAL CORP. Investment Adviser Has An Investor Complaint – May Recover Investor Losses
AEGIS CAPITAL CORP. Investment Adviser, GERRY SEIGEL Has An Investor Complaint.
GERALD W SEIGEL, GERRY SEIGEL
CRD#: 418229
GERALD WARREN SEIGEL (CRD#: 418229), a registered representative for AEGIS CAPITAL CORP. in Sarasota, FL, has an investor complaint. According to Seigel’s FINRA BrokerCheck report, Time frame: 2015 – present. Claimants allege breach of fiduciary duty, negligence and breach of contract.
Broker Comment:
I conducted reasonable due diligence and suitability analysis concerning the securities. All Claimants received a copy of the prospectus and acknowledged the risks in writing, including, without limitation, the illiquid nature of the investment, and the risk of nonrepayment of all or a portion of the principal amount. The Claimants further each separately attested that the investment did not account for more than 10% of each Claimant’s liquid net worth.
GERRY SEIGEL – AEGIS CAPITAL CORP. Investment Adviser Has An Investor Complaint
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 4/22/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.