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


Yann C. Faho with Aegis Capital Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Yann C. Faho with Aegis Capital Corp.?

Yann Faho (CRD #5397543) 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., Yann Faho was associated with Spartan Capital Securities, LLC and 5 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, Yann Faho has been the subject of 2 customer complaints that we know about, both of those complaints were filed against Ageist Capital Corp. in the last year to recover investment losses. Both customer complaints filed against Yann Faho’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct are pending.

Allegations Against Yann Faho

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

  • The claimant alleges unauthorized trading, churning, breach of fiduciary duty, breach of contract, and unsuitable investment recommendations relating to common and preferred stock transactions.
  • The claimant alleges unidentified stockbroker misconduct in the management of his accounts.

Yann Faho Red Flags & Your Rights as An Investor

Of course, Yann Faho 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 Yann Fahoat Aegis Capital Corp. and Spartan Capital Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Yann Fahohas engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Aegis Capital Corp. about Yann Faho also raises questions about 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., Spartan Capital Securities, LLC, and/or Yann Faho 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