Articles Tagged with Aegis Capital Corporation

Robert BuffingtonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Aegis Capital Corporation broker Robert Buffington has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Buffington (CRD# 5220332).

Robert Buffington has spent eleven years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since 2010. Previous registrations include Gunnallen Financial in New York, New York (2008-2010: Maxim Group LLC in New York, New York (2008); Gunnallen Financial in New York, New York (2007-2008); and Bear Stearns & Company in New York, New York (2007). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 31, 2007, and Series 7 (General Securities Representative Examination), which he obtained on May 15, 2007. He is a registered broker with 48 US states and territories.

According to his BrokerCheck report, he has received one pending customer complaint.

iStock_000006693339Medium-1024x1024-1-300x300Publicly 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.

dominick diorioFitapelli 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.

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