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Dennis Herrera Of Aegis Capital And Formerly With Laidlaw & Company (UK) Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Dennis Herrera of Aegis Capital?

Dennis Herrera (CRD #4618370) who is currently registered with Aegis Capital and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Dennis Herrera was associated with Laidlaw & Company (UK) and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Dennis Herrera Customer Complaints

Dennis Herrera has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Dennis Herrera’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Aegis Capital for investment losses caused by Dennis Herrera’s alleged misconduct.

Allegations Against Dennis Herrera

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

  • Client felt commissions overcharged in light of account lost value allegedly by Dennis Herrera.
  • Client alleged that he never authorized a stop loss order to be entered by Dennis Herrera.
  • Customer alleged Dennis Herrera’s (1) excessive and unsuitable trading strategy and (2) misrepresentation of private placement. Current employer does not have copy of complaint.
  • Claimant alleged allegedly by Dennis Herrera’s unsuitability, breach of contract, breach of fiduciary duty.
  • Unsuitable investments allegedly by Dennis Herrera.

Dennis Herrera Red Flags & Your Rights As An Investor

Of course, Dennis Herrera 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 Dennis Herrera at Aegis Capital and Laidlaw & Company (UK) on alert to review carefully the activity and performance of their accounts and question whether Dennis Herrera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Laidlaw & Company (UK) 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.

File A Claim To Recover Your Investment Losses At Aegis Capital Due To Dennis Herrera

If you have questions about Aegis Capital, Laidlaw & Company (UK), and/or Dennis Herrera 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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