Erez Law is currently investigating Aegis Capital Corp. broker Brendan Behan (CRD# 5681974) regarding unsuitable investment recommendations. Behan has been registered with Aegis Capital Corp. in Melville, New York since 2012.
Behan has been the subject of two customer complaints between 2020 and 2021, according to his CRD report:
- February 2021. “Time frame: unspecified. Claimants allege unsuitable transactions.” The case is currently pending.
- December 2020. “Time Frame: August 2019 to August 2020. Unsuitable investments, unauthorized trading, and churning.” The customer is seeking $50,000 in damages and the case is currently pending.
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 Behan’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.