Aaron Pierce Sevigny (CRD #4314368) Has Customer Dispute Disclosures on FINRA BrokerCheck

Aaron Pierce Sevigny (CRD #4314368) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 10, 2026. It reflects five customer dispute disclosures. If you invested with Aaron Pierce Sevigny and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Aaron Sevigny’s FINRA BrokerCheck Report reflects five customer dispute disclosures. Two pending matters are summarized below. Three additional customer dispute disclosures remain on the report, and BrokerCheck lists those matters as settled in 2022.

On January 6, 2026, a customer alleged Aaron Sevigny was involved in breach of contract, fraud, breach of fiduciary duty, negligence, misrepresentation, and related claims tied to an alternative investment. Aaron Sevigny’s FINRA BrokerCheck report states the customer requested $1,000,000 in damages, and the matter is pending in FINRA arbitration.

On January 20, 2026, a customer alleged Aaron Sevigny violated Section 10(b) and Rule 10b-5, committed fraud, breached fiduciary duties, and engaged in related misconduct involving an alternative investment. Aaron Sevigny’s FINRA BrokerCheck report states the customer requested $2,000,000 in damages, and the case is pending in federal court in New Jersey.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. Disputes over alternative investments often raise questions about whether the recommendation matched the investor’s objectives, risk tolerance, and liquidity needs.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires brokers to observe high standards of commercial honor and just and equitable principles of trade. Claims involving fraud, misrepresentation, or related misconduct can trigger review under this rule.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on His FINRA BrokerCheck report, Aaron Sevigny:

Is currently registered with United Planners’ Financial Services of America A Limited Partner.

Has passed the Securities Industry Essentials (SIE) exam. Aaron Sevigny has also passed Series 7, Series 24, Series 4, and Series 66.

Was previously registered with firms that include Financial Advisory Consultants, LLC, Triad Advisors, Inc., and Mony Securities Corporation.

Kurta Law Can Help

If you have worked with Aaron Sevigny and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Investment Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.