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Thomas Duggan with Aegis Capital Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Thomas Duggan with Aegis Capital Corp.?

Thomas Duggan (CRD #2757615) who is currently registered with Aegis Capital Corp. and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Aegis Capital Corp., Thomas Duggan was associated with Maxim Group LLC and 4 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, Thomas Duggan has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Thomas Duggan’s 3 customer complaints was settled in favor of investors.

There are currently 2 pending customer complaints filed against Thomas Duggan’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct.

Allegations Against Thomas Duggan

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

  • The claimant alleged unsuitable investment recommendations, common law fraud, gross negligence, breach of contract, and elder abuse by Thomas Duggan at Aegis Capital Corp.
  • The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations made by Thomas Duggan in connection with the investments.

Thomas Duggan Red Flags & Your Rights as An Investor

Of course, Thomas Duggan 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 that should put all current and former customers of Thomas Duggan at Aegis Capital Corp. and Maxim Group LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Duggan has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Aegis Capital Corp. about Thomas Duggan 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., Maxim Group LLC, and/or Thomas Duggan 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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