Joe LaScala (CRD #: 3070261), a broker registered with Aegis Capital Corp., has settled four investor disputes, according to his BrokerCheck record, accessed on February 5, 2021. Investors interested in his conduct as a broker should keep reading.
On October 31, 2012, an investor alleged that Joe LaScala failed to supervise. FINRA Rule 3110 states that firms must have a written supervisory system designed to achieve compliance with securities laws and FINRA rules. Rule 3110 also stipulates that firms must designate a registered representative to carry out supervisory responsibilities. The investors sought $75,000; the dispute settled for $30,000.
There are three other investor disputes that allege Joe LaScala failed to supervise. These disputes collectively settled for $288,750.
Joe LaScala has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 4 Registered Options Principal Examination, and the Series 24 General Securities Examination. He is a registered broker in 20 states and a registered investment adviser in California.
During his 22 years of experience, LaScala has worked at the following firms:
- Aegis Capital Corp (CRD #: 15007)
- Paulson Investment Company (CRD #: 5670)
- Gunnallen Financial (CRD #: 17609)
- Investec Ernst & Company (CRD #: 266)
- Royce Investment Group (CRD #: 10494)
If Joe LaScala was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.