DANIEL DVORZNAK is currently employed as a Broker and/or Investment Adviser at AEGIS CAPITAL CORP. located at 510 BROADHOLLOW ROAD, SUITE 104, MELVILLE, NY, 11747.
DANIEL DVORZNAK has worked at AEGIS CAPITAL CORP. since November 25, 2014
Disclosure History
DANIEL DVORZNAK has 4 Disclosure Event(s).
Date: April 07, 2017 Category: Customer Dispute Allegations: TIME FRAME: 07/10/2015 TO 03/09/2017. CLAIMANT ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND BREACH OF CONTRACT. Damage Amount Requested: $175,000.00
Date: October 24, 2014 Category: Customer Dispute Allegations: ALLEGED CLAIMS INVOLVE CHURNING, NEGLIGENCE, UNSUITABILITY, OVERCONCENTRATION, AND FAILURE TO SUPERVISE. Damage Amount Requested: $205,983.00 Settlement Amount: $48,220.51 Broker Comment: THERE IS ONLY ONE CLAIMANT RELEVANT TO THIS REGISTERED REPRESENTATIVE. THIS WAS A CLIENT WHOSE ACCOUNT WAS MAINTAINED FROM 2008 TO 2009.THE CLAIMANTS IN THIS CASE WERE CLIENTS PRIMARILY FROM 2008 THROUGH 2010 WHO SUSTAINED MARKET RELATED LOSSES DURING THE WORST ECONOMIC PERIOD IN THIS COUNTRY'S HISTORY SINCE THE GREAT DEPRESSION. THEY NEVER ONCE MADE A COMPLAINT PRIOR TO THIS CLAIM AND IT SEEMS QUITE ODD THAT A VALID CLAIM WOULD EXIST IN SOME CASES OVER 5 OR 6 YEARS AFTER THE ACTIVITY OCCURRED. THESE CLIENTS ARE SPREAD OUT THROUGHOUT THE UNITED STATES AND WE HAVE LEARNED THAT AT LEAST MOST IF NOT ALL CLAIMANTS WERE CONTACTED BY AN ORGANIZATION THAT SOLICITS SECURITIES ARBITRATIONS WITHOUT ACTUALLY ANALYZING THE CLAIMS THEY MAKE. THEY THEN UTILIZE ATTORNEYS WITH LITTLE TO NO EXPERIENCE IN SECURITIES LITIGATION MATTERS TO PROSECUTE THE CLAIMS PROMISING THEM LARGE CONTINGENCY FEES. COINCIDENTALLY, THIS SAME ATTORNEY IS NOW THE SUBJECT OF A LAWSUIT ALLEGING FRAUD, THEFT, CONSPIRACY AND A VARIETY OF OTHER CAUSES OF ACTION RELATED TO HIS ASSOCIATION WITH THIS ARBITRATION SOLICITATION MILL. THE SOLICITATION MILL IS BELIEVED TO CONSIST OF FORMER FINRA ASSOCIATED PERSONS WHO HAVE BEEN BARRED FROM THE INDUSTRY. THE FIRM THEY WERE ASSOCIATED WITH HAS BEEN EXPELLED AS WELL.
Date: July 18, 2011 Category: Regulatory
Date: September 07, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MARGIN WAS NOT COMPLETELY EXPLAINED Damages Granted: $20,000.00
More Information
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