Erez Law is currently investigating Aegis Capital Corp. broker Stephen Giannantonio (CRD# 2309181) regarding private placement losses. He has been registered with Aegis Capital Corp. in New York, New York, since 2013.
In October 2016, FINRA sanctioned him to pay a $5,000 civil and administrative penalty and fine and suspended him for 10 business days after he “consented to the sanctions and to the entry of findings that he exercised discretion in executing transactions in a customer’s account without obtaining prior written authorization from the customer or written approval of the account as discretionary from his member firm. The findings stated that Giannantonio regularly discussed investment strategies with the customer, but exercised his discretion in executing the transactions on dates when he had not spoken with the customer.”
Stephen Giannantonio Customer Complaints
He has been the subject of three customer complaints between 2001 and 2026, according to his CRD report. The most recent complaint was regarding:
April 2026. “Unsuitable investments, breach of fiduciary duty and, violation of Regulation Best Interest.” The case is currently pending. The complaint was regarding private placement losses.
October 2025. “Time frame: Unspecified. Customers allege breach of fiduciary duty, unsuitable investments, material misrepresentations, material omissions, breach of FINRA rules and breach of contract on the part of Registered Representative in relation to the customers investments.” 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 Stephen Giannantonio’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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