EDWARD CRAIG PITLAKE is currently employed as a Broker and/or Investment Adviser at AEGIS CAPITAL CORP. located at 2700 N MILITARY TRAIL, SUITE 220, BOCA RATON, FL, 33431.
EDWARD CRAIG PITLAKE has worked at AEGIS CAPITAL CORP. since February 18, 2016
Disclosure History
EDWARD CRAIG PITLAKE has 2 Disclosure Event(s).
Date: July 01, 2014 Category: Customer Dispute Allegations: TRADING IN AND OUT OF SPECULATIVE STOCKS AND OPTIONS AS WELL AS THE USE OF MARGIN. Damage Amount Requested: $75,000.00 Settlement Amount: $24,000.00
Date: August 06, 2013 Category: Customer Dispute Allegations: TRADING IN AND OUT OF SPECULATIVE STOCKS AND OPTIONS AS WELL AS THE USE OF MARGIN. (FOR 4530 FILING DATES MAY 2011 THOROUGH FEBRUARY 2013) Damage Amount Requested: $200,000.00 Broker Comment: CUSTOMER WAS VERY KNOWLEDGABLE ABOUT THE INVESTMENTS HE HAD INVESTED IN. HE CLAIMED ON MANY OCCASSIONS THAT HE WAS AN ACCOUNTANT AND HE HAD VAST KNOWLEDGE OF BALANCE SHEETS AND HE WAS VERY COMFORTABLE WITH PETROQUEST ENERGY. THIS WAS NOT AN ACTIVE ACCOUNT AND WE DID LIMITED COVERED CALL TRANSACTIONS. I HAVE NO KNOWLEDGE OF ANY PERSONAL LOAN HE CLAIMS TO HAVE OBTAINED NOR OF THE SALE OF ANY COIN COLLECTION. CUSTOMER HAS A HISTORY OF SPECULATIVE INVESTMENT ACCOUNTS AT OTHER FIRM. THERE WAS NEVER ANY DISCUSSION OR CONCERN EXPRESSED TO ME THAT ANY OF HIS INVESTMENTS WERE UNSUITABLE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for EDWARD CRAIG PITLAKE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.