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Robert Buffington formerly with Aegis Capital Corp. Has 3 Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Robert Buffington formerly with Aegis Capital Corp.?

Robert Buffington (CRD #5220332) who was formerly 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., Robert Buffington was associated with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Aegis Capital Corp. Broker Misconduct

In his career, Robert Buffington has been the subject of 4 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Robert Buffington’s 4 customer complaints were settled in favor of investors: $335,000; $315,000; and $136,982. There is currently 1 pending customer complaint filed against Robert Buffington’s employer Aegis Capital Corp. for investment losses caused by his alleged misconduct.

Allegations Against Robert Buffington

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

  • A Phoenix, Arizona investor alleged unsuitability, churning, fraud, breach of fiduciary duty, and breach of contract.
  • A Philadelphia, Pennsylvania investor alleged that Robert Buffington made unsuitable recommendations, committed common law fraud, engaged in churning in breach of contract and his fiduciary duty to the customer.
  • The claimant alleged unauthorized trading and unsuitable investment recommendations.
  • The customer residing in New York, New York alleged unsuitability, breach of contract, and breach of fiduciary duty in a complaint recently filed.

Robert Buffington Red Flags & Your Rights as An Investor

Of course, Robert Buffington 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 Robert Buffington at Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Robert Buffington has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Aegis Capital Corp. about Robert Buffington also raises questions about its 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.

If you have questions about Aegis Capital Corp. and/or Robert Buffington 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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