Did You Lose Money with Former Aegis Capital Corp. Broker Robert Buffington?

Jeff Erez | | Unsuitable Investments
Aegis Capital Corp.

There are options for customers of former Aegis Capital Corp. broker Robert Buffington (CRD# 5220332). Buffington has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2019.

Buffington has been the subject of four customer complaints between 2018 and 2020, according to his CRD report:

  • March 2020. “Time frame: unspecified. Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.” The customer is seeking $642,224 in damages and the case is currently pending. The complaint took place while Buffington was registered with Aegis Capital Corp.
  • January 2020. “Time Frame: Unspecified. Claimant Alleges Unsuitability, Churning, Common Law Fraud, Breach Of Fiduciary Duty, Breach Of Contract.” The case is currently pending. The complaint took place while Buffington was registered with Aegis Capital Corp.
  • January 2020. “Time frame: November 2018- present. Claimant alleges unsuitability, common law fraud, churning, breach of contract, breach of fiduciary duty.” The case is currently pending. The complaint took place while Buffington was registered with Aegis Capital Corp.
  • February 2018. “Time frame: unspecified. Claimant alleges unauthorized trading and unsuitable investment recommendations.” The customer sought $414,805 in damages and the case was settled for $136,982.43. The complaint took place while Buffington 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 Buffington’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.