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Investment Loss Options for Former Clients of Aegis Capital Corp. broker Thomas Duggan

Posted on Tuesday, July 28th, 2020 at 7:59 pm    

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There are options for formers clients of Aegis Capital Corp. broker Thomas Duggan (CRD# 2757615) who suffered investment losses Duggan has been registered with Aegis Capital Corp. in Melville, New York since 2016. 

Duggan has been the subject of three customer complaints between 2001 and 2020, according to his CRD report. The most recent complaints are regarding: 

January 2020. “Time frame: 6/2017 – 8/2019; Unsuitability, common law fraud, gross negligence, breach of contract, elder abuse.” The customer is seeking $1,079,155.08 in damages and the case is currently pending. The complaint took place while Duggan was registered with Aegis Capital Corp. 

January 2019. “Time frame: June 2017 – present. Breach of fiduciary duty, breach of contract, misrepresentation.” The customer is seeking $80,000 in damages in this pending customer complaint. The complaint took place while Duggan 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 Duggan’s 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.