Douglas Edward Szempruch, Formerly of Aegis Capital Corp., Suspended by FINRA for One Year

Szempruch was suspended based on allegations of unsuitable trading practices.

douglas-edward-suspended-by-finraDouglas Edward Szempruch (CRD#: 4159318) was registered as a broker with Aegis Capital Corp. from 2011 until 2021. Previously, Szempruch was registered as a broker with Global Arena Capital Corp., who has since been expelled by FINRA, from 2010 until 2011.

Szempruch has four disclosures on his BrokerCheck report. 

July 2021 Regulatory Judgment

February 2018 Customer Dispute

September 2005 Criminal Judgment

May 2004 Customer Dispute

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The Sonn Law Group is currently investigating allegations surrounding Douglas Edward Szempruch. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.