RED BANK, NEW JERSEY

Have you lost money with financial advisor Vincent A. Sharpe, formerly of Aegis Capital in Red Bank, New Jersey?  We are looking into allegations made against Vincent Sharpe. Vincent Sharpe has been the subject of three customer complaints in the last two years.  One of the customers alleged that Sharpe engaged in unauthorized and excessive trading (or churning), and another customer complained of unsuitable trading.

Vincent Sharpe was a registered representative of Aegis Capital from August 2016 to October 2019.  He has also been with PHX Financial from October 2019 to the present.  He has worked at branch offices in Red Bank, New Jersey.

Brokerage firms like Aegis Capital and PHX Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Aegis Capital.

Click to view BROKERCHECK:  Sharpe, Vincent BrokerCheck 6.8.21

If you lost money with Vincent Sharpe or Aegis Capital, CONTACT Israels & Neuman Law at 720-599-3505 or 206-795-5798 for a free evaluation of your case.