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.

Broker, John Wallinger has TIC Complaint

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 info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment