EUGENE CHARLES FLYNN is currently employed as a Broker and/or Investment Adviser at AEGIS CAPITAL CORP. located at 40 WALL STREET, 46TH FLOOR, NEW YORK, NY, 10005.
EUGENE CHARLES FLYNN has worked at AEGIS CAPITAL CORP. since August 13, 2012
Disclosure History
EUGENE CHARLES FLYNN has 5 Disclosure Event(s).
Date: October 02, 2012 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: November 02, 2010 Category: Regulatory
Date: March 22, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED UNSUITABILITY AND MISREPRESENTATION WITH REGARD TO THE FEBRUARY 1998 PURCHASE OF A UNIT TRUST. ALLEGED DAMAGES UNSPECIFIED.
Date: February 06, 2001 Category: Customer Dispute Allegations: THE CLIENT LODGED A VERBAL COMPLAINT REGARDING THE MISMANAGEMENT OF HIS ACCOUNT FROM NOVEMBER 2000 ON. Damage Amount Requested: $120,000.00 Settlement Amount: $75,000.00 Broker Comment: THE CLAIM WAS SETTLED FOR $75,000.
Date: June 24, 1998 Category: Customer Dispute Allegations: SMITH BARNEY CLIENT ALLEGED THAT HISINSTRUCTIONS REGARDING WHAT TYPES OF INVESTMENTS TO PURCHASEWERE NOT FOLLOWED. ALLEGED DAMAGES UNSPECIFIED Broker Comment: THE CLIENT'S CLAIM WAS DENIED. THERE WERE NO OPTIONS OR COMMODITIES INVOLVED. NOT PROVIDED.
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 EUGENE CHARLES FLYNN, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.