Erez Law is currently investigating Aegis Capital Corp. broker Dennis Herrera (CRD# 4618370) regarding suitability concerns. Dennis Herrera has been registered with Aegis Capital Corp. in Miami, Florida since 2016.
Dennis Herrera Faces Customer Complaint
Dennis Herrera has been the subject of five customer complaints between 2005 and 2020, including four settled complaints, according to his CRD report. The most recent complaint was regarding:
March 2020. “Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.” The customer is seeking $139,399 in damages and the case is currently pending. The complaint took place while Dennis Herrera was registered with Aegis Capital Corp.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Aegis Capital Corp. may be liable for investment or other losses suffered by Dennis Herrera’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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