| Read Time: 2 minutes | Aegis Capital Corp Complaints | National Securities Corp Complaints |


Gerald Sharpe Of Aegis Capital And Formerly With National Securities Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Gerald Sharpe of Aegis Capital?

Gerald Sharpe (CRD #2109210) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Gerald Sharpe was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gerald Sharpe Customer Complaints

Gerald Sharpe has been the subject of 4 customer complaints that we know about. Three of Gerald Sharpe’s 4 customer complaints were settled in favor of investors. One of Gerald Sharpe’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Gerald Sharpe

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

  • Client alleged Gerald Sharpe made misrepresentations of material facts to induce client to purchase a listed stock.
  • Claimant alleged Gerald Sharpe’s Unsuitability, Negligence, Gross Negligence, Breach of Contract, Breach of Fiduciary Duty, Unauthorized Trading.
  • Unsuitable recommendations allegedly by Gerald Sharpe.

Gerald Sharpe Red Flags & Your Rights As An Investor

Of course, Gerald Sharpe 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 Gerald Sharpe at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Gerald Sharpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National Securities 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 Gerald Sharpe

If you have questions about Aegis Capital, National Securities, and/or Gerald Sharpe 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars