Aegis Capital Corp. broker Dominick Diorio has been the subject of customer complaints alleging that he made unsuitable investment recommendations and participated in unauthorized trading.
Diorio has worked in the securities industry for 21 years and has been registered with Aegis Capital Corporation in New York since 2011. In the past, he was registered at numerous other firms, including Global Arena Capital Corporation, Prestige Financial Center, SW Bach & Company, Harrison Securities, Weatherly Securities Corporation, Tasin & Company, Duke & Company, Joseph Stevens & Company, and Landmark International Equities.
Meyer Wilson is looking into allegations that Diorio participated in unauthorized trading and made unsuitable investment recommendations. According to his BrokerCheck report, he has one pending client dispute and another that was settled.
A pending dispute, filed in February 2018 alleges that Diorio made unauthorized trades and unsuitable investment recommendations while employed at Aegis Capital.
Another client's allegations that Diorio participated in an unsuitable investment strategy between December 2012 and July 2017 led to a settlement of $837,500 in September 2017. Alternative investments, real estate securities and common and preferred stocks were the investments involved in this case.
Did You Suffer Financial Losses While Investing with Dominick Diorio?
FINRA rules demand that member firms properly supervise their registered brokers. Because of this and the misconduct Diorio allegedly displayed while working as a broker for Aegis Capital Corp., the firm may be responsible for any damages and investment losses Diorio's clients suffered.
If you lost money while working with Diorio, the investment fraud attorneys at Meyer Wilson would like to hear from you. Our lawyers have helped investors all over the United States recover substantial sums of money that were lost because of the misconduct of brokers who put their interests before those of their clients.