Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2018 indicate that New York-based Aegis Capital Corporation broker Dominick Diorio is involved in pending customer disputes.
Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Diorio (CRD# 2447817).
Dominick Diorio has spent 21 years in the securities industry and has been registered with Aegis Capital Corporation in Melville, New York since 2011. Previous registrations include Global Arena Capital Corporation in New York, New York (2010-2011); Prestige Financial Center in Melville, New York (2007-2010); SW Bach & Company in Port Washington, New York (2004-2007); Harrison Securities in Port Washington, New York (2001-2004); Weatherly Securities Corporation in New York, New York (1999-2001); Tasin & Company in Hauppage, New York (1997-1999); Duke & Company in New York, New York (1996-1997); Joseph Stevens & Company in Brooklyn, New York (1996); and Landmark International Equities in Westbury, New York (1995-1996). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 23, 1995, and Series 7 (General Securities Representative Examination), which he obtained on October 4, 1995. He is a registered broker with 42 US states and territories.
According to his BrokerCheck report, he has received two pending customer complaints and one customer complaint that was closed.
In February 2018 a customer alleged Dominick Diorio, while employed at Aegis Capital, executed unauthorized trades and made unsuitable investment recommendations. The customer is seeking $769,769 in damages in the pending complaint.
In August 2017 a customer alleged Dominick Diorio, while employed at Aegis Capital, participated in an unsuitable investment strategy. The customer is seeking unspecified damages in the pending complaint.
In 1999 a customer alleged Dominick Diorio, while employed at Tasin & Company, used margin without authorization. The customer sought $40,000 in damages in the complaint, which was closed with no action taken.
If you or someone you know has a complaint regarding Dominick Diorio, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.