Eccleston Law Bad BROKERS

Aegis Capital Corp. Broker Gerald Warren Seigel Has Multiple Customer Disputes

Posted on April 1st, 2025 at 1:33 PM

Aegis Capital Corp. Broker Gerald Warren Seigel Has Multiple Customer Disputes

Broker Gerald Warren Seigel (CRD #418229) is currently registered at Aegis Capitol Corporation in Sarasota, Florida, offering investment services through American Wealth Management. According to BrokerCheck, Seigel has or has had three customer disputes.

A pending complaint against Seigel alleges negligence, breach of contract, and breach of fiduciary duty, with claimed damages ranging from $100,000 to $500,000. This complaint is currently in FINRA arbitration.

The two remaining disputes were denied for undisclosed reasons. One denied complaint alleged that Seigel engaged in unauthorized and unsuitable transactions between 1999 and 2007. The second alleged that Siegel failed to follow sale instructions and over-purchased shares. 

We are a Chicago-based law firm with a national practice, representing investors nationwide in seeking to recover their investment losses. The firm continues to investigate brokerage firms and brokers who have placed elderly investors, retirees and other conservative investors in unsuitable investments.

 

We receive the highest rankings as attorneys for quality work and ethics.  We successfully have filed numerous cases against brokerage firms that sold high-risk investments, recovering more than $50 million on behalf of victimized investors. In those cases, we allege that the investment recommendations were unsuitable for our clients based on their financial situation, needs, and investment objectives.

 

We offer free case evaluations and handle matters on a contingency fee basis-meaning you pay no attorney’s fees unless we recover compensation for you. If you have incurred investment losses with Gerald Warren Seigel and would like a securities attorney to evaluate your case, please contact us.  



BrokerCheck: https://files.brokercheck.finra.org/individual/individual_418229.pdf

 

Tags:

Return to Archive

TESTIMONIALS

Previous
Next

 


It was really fun seeing you fight for us. You have an amazing way of thinking out of the box.


 

Beth M.

LATEST NEWS AND ARTICLES

April 2, 2025
A Look at Broker William Keen Butcher’s BrokerCheck

According to BrokerCheck, Broker William Keen Butcher (CRD# 2098675) is currently registered at Independent Financial Group, LLC in Kemah, Texas and was previously registered at International Asset Investment Management, LLC and International Investment Advisory, LLC in Orlando, Florida. Butcher has or has had three customer disputes on his BrokerCheck.

April 2, 2025
A Look At Regulatory Disclosures And Customer Complaints Against Buckman Advisory Group, LLC And Broker Harry J. Buckman

According to BrokerCheck, broker Harry John Buckman (CRD #2202467), currently registered with Buckman Advisory Group, LLC, Mayhill Agency, LLC, and Buckman, Buckman, and Reid, Inc. in Little Silver, New Jersey, has or has had two regulatory events and two customer disputes.

April 2, 2025
A Look at Broker David Sosa’a Brokercheck

According to BrokerCheck, broker David Sosa (CRD # 2447013) is registered with Cetera Investment Advisers and Cetera Investment Servies in Lake Mary, Florida. Sosa has or has had two criminal disputes and seven customer disputes.