DID GHAZALEH EBRAHIMI CAUSE YOU INVESTMENT LOSSES?
Ghazaleh Ebrahimi Of Aegis Capital Corp. And Formerly With Stifel Nicolaus & Company, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct
Who is Ghazaleh Ebrahimi of Aegis Capital Corp.?
Ghazaleh Ebrahimi (CRD #2873246) who is currently registered with Aegis Capital Corp. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Ghazaleh Ebrahimi was associated with Stifel Nicolaus & Company and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Ghazaleh Ebrahimi Customer Complaints
Ghazaleh Ebrahimi has been the subject of 5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. All of Ghazaleh Ebrahimi’s 5 customer complaints were settled in favor of investors.
Allegations Against Ghazaleh Ebrahimi
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Claimant alleged Ghazaleh Ebrahimi’s violation of standards of reasonable basis suitability (FINRA Rule 2310(b)) just and equitable principles of trade (FINRA Rule 2010; fraud, misleading statements, misleading omissions of material information; breach of fiduciary duty; negligent misrepresentation; negligence; breach of contract and warranty; third party beneficiary breach of contract; breach of the covenant of good faith and fair dealing; elder abuse; and aiding and abetting financial elder abuse.
- Claimants alleged Ghazaleh Ebrahimi’s breach of fiduciary duty; negligence; breach of contract; common law fraud and deceit; violations of FINRA rules 2310, 2210, 2110 , 2120 and 3010.
- Client verbally alleged that Ghazaleh Ebrahimi recommended an unsuitable investment in an inverse/leveraged ETF.
- Clients alleged that their investments made by Ghazaleh Ebrahimi in reverse convertible notes were unsuitable due to the fact that the investments’ recent market performance exhibited more volatility than the customer was willing to accept.
- Customer purchased reverse convertible bonds and claims that these investments allegedly recommended by Ghazaleh Ebrahimi were not suitable.
Ghazaleh Ebrahimi Red Flags & Your Rights As An Investor
Of course, Ghazaleh Ebrahimi 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 Ghazaleh Ebrahimi at Aegis Capital Corp. and Stifel Nicolaus & Company on alert to review carefully the activity and performance of their accounts and question whether Ghazaleh Ebrahimi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and Stifel Nicolaus & Company 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 Corp. Due To Ghazaleh Ebrahimi
If you have questions about Aegis Capital Corp., Stifel Nicolaus & Company, and/or Ghazaleh Ebrahimi 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.