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Andrew Brookman Of Aegis Capital Corp And Formerly With LPL Financial LLC and Oppenheimer & Co. Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Andrew Brookman of Aegis Capital Corp?

Andrew Brookman

Andrew Brookman (CRD #3166671) who is currently registered as a broker and investment adviser with Aegis Capital Corp and located in Westport, Connecticut, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp, Andrew Brookman was associated with LPL Financial LLC, Oppenheimer & Co. Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Andrew Brookman Customer Complaints

Andrew Brookman has been the subject of 4 customer complaints that we know about recovering investment losses. Two of the customer complaints were settled by LPL Financial and Brill Securities in favor of the investors. One customer complaint was denied by Ages Capital Corp. and later withdrawn. The other customer complaint against LPL Financial for Andrew Brookman’s alleged misconduct was recently filed and is still pending.

Allegations Against Alex Mathis

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Advisor failed to diversify client’s portfolio which created a risk that was inconsistent with her investment objectives and risk tolerance.
  • Unsuitable investment recommendations, breach of fiduciary duty and negligence.
  • Misrepresentation of yield rate of a variable rate CD.
  • Recommendation of investment strategy in certain equities was inappropriate for the customer’s investment objectives and risk tolerance.

Andrew Brookman Red Flags & Your Rights As An Investor

Of course, Andrew Brookman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andrew Brookman at Aegis Capital Corp, LPL Financial LLC and Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Andrew Brookman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp, LPL Financial LLC and Oppenheimer & Co. Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Aegis Capital Corp Due To Andrew Brookman

If you have questions about Aegis Capital Corp, LPL Financial LLC, Oppenheimer & Co. Inc. and/or Andrew Brookman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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