Erez Law is currently investigating Aegis Capital Corp. broker Sergio Rovner (CRD# 2884441) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2014.
In December 2005, NASD fined him $10,000 and suspended him from association with any NASD member in any capacity for 30 days, following allegations that he “engaged in a pattern of trading activity in the account of a public customer that was excessive in light of the customer’s objectives, financial situation and needs.”
In August 2006, the state of Illinois sanctioned him to withdraw his registration for two years and not reapply during that period.
Sergio Rovner Customer Complaints
He has been the subject of seven customer complaints between 1999 and 2024, one of which was denied, according to his CRD report. The most recent complaint was regarding:
December 2024. “June 2020 – present. Claimant alleges unsuitable investments.” The customer is seeking $4,095,000 in damages, and the case is currently pending. The complaint was regarding private placement losses.
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 Sergio Rovner’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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