Erez Law is currently investigating Aegis Capital Corp. broker Aret Gugin (CRD# 2731291) regarding stock losses. He has been registered with Aegis Capital Corp. in Melville, New York since 2014. Previously, he was registered with Global Arena Capital Corp. in Melville, New York from 2010 to 2014.
Aret Gugin Customer Complaints
He has been the subject of four customer complaints between 2004 and 2022, according to his CRD report. The most recent complaint was regarding:
Date. “Time frame: 2019 – Present. Claimant alleges negligence and breach of fiduciary duty.” The customer is seeking $500,000 in damages and the case is currently pending. The complaint was regarding common and preferred stocks and it took place while he was registered with Aegis Capital Corp.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Aegis Capital Corp. may be liable for investment or other losses suffered by Aret Gugin’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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