Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that New York-based Aegis Capital Corporation broker Douglas Szempruch has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Szempruch (CRD# 4159318).
Douglas Szempruch has spent 18 years in the securities industry and has been registered with Aegis Capital Corporation in Melville, New York since 2011. Previous registrations include Global Arena Capital Corporation in New York, New York (2010-2011); Prestige Financial Center in New York, New York (2007-2010); SW Bach & Company in Port Washington, New York (2004-2007); Harrison Securities in Port Washington, New York (2001-2004); and Weatherly Securities in New York, New York (2000-2001). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 22, 2000, and Series 7 (General Securities Representative Examination), which he obtained on May 12, 2000. He is a registered broker with 16 US states and territories: Arizona, California, Colorado, Idaho, Indiana, Massachusetts, Michigan, Minnesota, New Jersey, New York, Ohio, Oklahoma, Pennsylvania, Texas, Washington, and Wisconsin.
According to his BrokerCheck report, he has received two customer complaints.
In February 2018 a customer alleged Douglas Szempruch, while employed at Aegis Capital Corporation, made unsuitable investment recommendations and recommended stock products that performed poorly. The complaint settled in March 2018 for $30,000.
In 2004 a customer alleged Douglas Szempruch, while employed at SW Bach & Company, executed unauthorized trades. The complaint settled for $250.
If you or someone you know has complaints regarding Douglas Szempruch, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.