Scott Hananel is Involved in Multiple Investor Disputes
Scott Hananel (CRD #: 3080827), a broker formerly registered with Aegis Capital Corp, is involved in multiple pending investor disputes, according to his BrokerCheck record, accessed on July 9, 2021.
Pending Investor Disputes
On December 7, 2020, an investor alleged that Scott Hananel recommended unsuitable investments, engaged in unauthorized trading, and executed an excessive number of trades. The investor is seeking $50,000.
There are two other pending disputes from early 2021 that allege Hananel recommended unsuitable investments.
Settled Investor Disputes
Hananel also has three settled disputes on his record:
On March 17, 2016, an investor alleged that Scott Hananel executed unauthorized trades and over-concentrated an investor’s portfolio in certain investments. Hananel allegedly recommended unsuitable investments and made unsuitable use of margin. The investor sought $150,000; the dispute settled for $46,500.
On February 9, 2009, investors alleged that Hananel made misrepresentations. The investors sought $300,000; the dispute settled for $150,000.
On July 1, 2002, an investor alleged that Hananel executed unauthorized trades and recommended unsuitable investments. The investor sought $139,326; the dispute settled for $52,000.
Scott Hananel Background Information
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Hananel has worked for the following firms:
- Aegis Capital Corp (CRD #: 15007)
- Gunnallen Financial (CRD #: 17609)
- Milestone Group Management (CRD #: 44486)
- Salomon Grey Financial (CRD #: 43413)
- Royal Hutton Securities (CRD #: 14489)
Kurta Law Can Help
If you worked with Scott Hananel and you have concerns about unsuitable investments or unauthorized trading, contact Kurta Law today. Call 212-658-1502 or email email@example.com.