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Robert Yasnis Fired from Aegis Capital Corporation

Nov 16, 2022 Fired Brokers

Robert Yasnis (CRD #:2399141), a broker formerly registered with Aegis Capital Corporation, was fired from that firm, according to his BrokerCheck record, accessed on November 11, 2022. Read on to learn more about his conduct as a broker.

Termination from Aegis Capital Corporation

On October 12, 2022, Robert Yasnis was fired from Aegis Capital Corporation after allegedly failing to disclose an arrest.

Pending Criminal Charges

On September 14, 2022, Robert Yasnis was the subject two criminal charges, including larceny and possession of stolen property.

Investor Dispute

On December 11, 2020, an investor named Robert Yasnis in allegations of overconcentration, excessive trading, and other violations of suitability. The client seeks $148,119.20 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that adequately suit an investor’s financial goals. Brokers must consult an investor’s profile, which contains information about their risk tolerance, tax status, and age.

Suitability also applies to investment strategies and trading activity. The number of trades executed must be quantitatively suitable for the client’s profile, and investment strategies need to serve clients’ overall financial goals.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Robert Yasnis has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

In the past, he worked for the following firms:

  • Aegis Capital Corporation (CRD#:15007)
  • Monmouth Capital Management (CRD#:290248)
  • Worden Capital Management (CRD#:148366)
  • Laidlaw & Company (UK) (CRD#:119037)
  • Meyers Associates (CRD#:34171)
  • Buckman, Buckman & Reid (CRD#:23407)
  • Stephen A. Kohn & Associates (CRD#:41067)
  • Hallmark Investments (CRD#:135003)
  • Marquis Financial Services (CRD#:20733)
  • Aura Financial Services (CRD#:42822)
  • Saxony Securities (CRD#:115547)
  • Buckman, Buckman & Reid (CRD#:23407)
  • G.F.B. Securities (CRD#:36381)
  • Kirlin Securities (CRD#:21210)
  • KSH Investment Group (CRD#:41817)
  • Joseph Dillon & Company (CRD#:35220)
  • Fletcher and Faraday (CRD#:29769)
  • Cartwright and Walker Securities (CRD#:23504)
  • Corporate Securities Group (CRD#:11025)
  • Lew Lieberbaum & Company (CRD#:17341)

Kurta Law Can Help

If you worked with Robert Yasnis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.