Ex-Aegis Capital Broker Scott Hananel Caused Investment Losses

新泽西州梅尔维尔（Melville），新泽西州财务顾问已在六个争端中任命

If you have suffered investment losses while working with ex-Aegis Capital stockbroker Scott Neil Hananel, contact Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) so that we can help you explore your legal options.

Hananel, who is no longer a registered financial advisor, has been named in six customer disputes over the years. A few of them are still pending.BrokerChecknotes the disputes on Hananel’s record:

February 2021：这位索赔人指控不合适的投资。
January 2021: While also alleging不合适，this customer is accusing Hananel of breach of fiduciary duty and breach of contract.
December 2020: Alleging unsuitability,churning和未经授权的交易，这位索赔人正在寻求5万美元的损害赔偿。

March 2016: This unsuitability claim, which accuses Hananel ofoverconcentration, unauthorized trading, unsuitable margin use, and breach of fiduciary duty, was settled for $46,500.
March 2009: This investor fraud claim, which allegesmisrepresentations, was settled by one of the firms where Hananel used to work for $150K.
June 2002: Alleging unsuitability andunauthorized trading,this claimant received a $52K settlement.

斯科特·哈纳尔（Scott Hananel）在该行业21年中曾经注册过的其他经纪交易商包括Gunnallen Financial，Milestone Group Management，Salomon Gray Financial和Royal Hutton Securities。bob200体育此后，金融业监管局（FINRA）驱逐了Salomon Gray和Royal Hutton。

Aegis Capital Corp and Its Brokers Have Faced Allegations of Misconduct and Negligence

前宙斯盾财务顾问斯科特·哈纳尔（Scott Hananel）并不是公司唯一对客户帐户处理的审查的经纪人。由哥伦比亚大学法学院和路透社委托的一项研究，名为“宙斯会资本公司”是近50家经纪交易商之一，其中有大量注册代表在其公开披露中带有“危险信号”。

This included arbitration cases, customer disputes, civil actions, regulatory actions, firings, bankruptcies, and allegations of wrongdoing. That was the same year that Aegis Capital, in anaudited financial statement, noted that it was under investigation by FINRA, the Securities and Exchange Commission (SEC), and the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN).

在此前两年，2015年，经纪公司支付了95万美元以解决FINRA的费用。自我监管组织（SRO）指责宙斯盾销售了数十亿美元股票的不当出售，这些股票未经注册，并声称与反洗钱有关的监督失误。

In July, FINRA suspended ex-Aegis Capital broker Douglas Szempruch for a year following alleged unauthorized and excessive trading in several customer accounts. According to Financial Advisor, Szempruch was the sixth Aegis Capital registered representative to be disciplined this year over sales violations. He was ordered to pay $100K in restitution.

今年早些时候，FINRA批准了宙斯盾资本，命令经纪交易商支付超过43K的客户赔偿金，因为据称不给客户债券相关的有利价格。

Seasoned Broker Misconduct Lawyers

30多年来，SSEK律师事务所一直为投资者而奋斗，以追回由于经纪人和/或其公司的不当行为或过失，他们所遭受的投资损失。请contact ustoday if you suffered significant losses while working with an Aegis Capital broker by calling us at(800) 259-9010.