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James Mariani Allegedly Recommended Unsuitable Investments

James Mariani (CRD #: 2932631), a broker registered with Aegis Capital Corp, is involved in a suitability dispute, according to his BrokerCheck record, accessed on August 4, 2021. This is not his only investor dispute.

On July 7, 2021, an investor alleged that James Mariani recommended an unsuitable investment.

There are two settled disputes on Mariani’s record that allege he made unsuitable recommendations.

  • On December 20, 2018, an investor alleged that James Mariani recommended unsuitable investments. The investor sought $467,000; the dispute settled for $67,500.
  • On April 3, 2018, an investor alleged that Mariani recommended unsuitable investments and engaged in negligence. The investor sought $432,020.69; the dispute settled for $135,000.

Regulator Action

On May 2, 2005, James Mariani entered into an Acceptance, Waiver, and Consented agreement (AWC) with a regulator. In it, he consented to the findings that he affected unsuitable mutual fund and margin account transactions. As part of the terms of the AWC, Mariani agreed to return $5,000 to his investors and pay a $10,000 fine. He also consented to a 30-day suspension.

James Mariani Background Information

Mariani has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in nine states.

Mariani has worked with the following firms:

  • Aegis Capital Corp (CRD #: 15007)
  • National Securities Corporation (CRD #: 7569)
  • First Montauk Securities (CRD #: 13755)
  • Oppenheimer & Co. (CRD #: 249)
  • Josephthal & Co. (CRD #: 3227)
  • Continental Broker-Dealer Corp. (CRD #: 14048)

Kurta Law Can Help

If you worked with James Mariani and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email