There are options for customers of former Aegis Capital Corp. broker Tariq Sales (CRD# 2851440) who suffered investment losses. Sales was registered with Newbridge Securities Corporation in New York, New York from 2014 to 2018. Previously, Sales was registered with Aegis Capital Corp. in New York, New York from 2010 to 2014.
Sales has been the subject of one customer complaint in 2019, according to his CRD report:
August 2019. “Time frame: unspecified. Breach of fiduciary duty; breach of contract and negligence.” The customer is seeking $499,999 in damages and the case is currently pending. Sales was registered with Aegis Capital Corp. at the time the allegations took place
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 Sales’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.