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James Mariani Of Aegis Capital Corp Has 13 Customer Complaints For Alleged Broker Misconduct

Who is James Mariani of Aegis Capital Corp?

James Mariani

James Mariani (CRD #2932631) who was formerly registered with Aegis Capital Corp and located in Mineola, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp, James Mariani was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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James Mariani Customer Complaints

James Mariani has been the subject of 13 customer complaints that we know about seeking to recover investment losses. Five of the FINRA arbitration proceedings filed against James Mariani’s current and former employers resettled in favor of the investors. One customer complaint was denied by Josephthal & Co. in the investor took no further action. The remaining 7 FINRA arbitration proceedings filed against James Mariani’s current and former employers are still pending resolution.

Allegations Against James Mariani

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

  • Unsuitable investment recommendations of real estate securities.
  • Suitability issues related to private placements.
  • Unsuitable recommendations of REITs.
  • Recommendations to invest in REITs and other alternative investments were unsuitable.
  • Omissions of material facts related to real estate securities investments.
  • Mutual fund switching and unsuitable transactions related thereto.
  • Unsuitable, excessive and unauthorized trading in breach of brokers of fiduciary duties.

James Mariani Red Flags & Your Rights As An Investor

Of course, James Mariani 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 James Mariani at Aegis Capital Corp on alert to review carefully the activity and performance of their accounts and question whether James Mariani has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp also raises questions about the brokerage firm’s 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?

best investment fraud lawyers

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 James Mariani

If you have questions about Aegis Capital Corp and/or James Mariani 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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