Dieter Huber: Suitability Complaint Against Aegis Capital Advisor

Red Bank, New Jersey financial advisor Dieter Huber (CRD# 2742065) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital Corporation.

Mr. Huber’s BrokerCheck report discloses six investor complaints. The most recent, filed in September 2025, alleges that as an Aegis Capital representative, he breached his fiduciary duty, recommended unsuitable investments, made misrepresentations and omissions of material facts, violated FINRA rules, and breached contract in connection with a private placement investment. The pending complaint alleges unspecified damages.

An earlier investor complaint, filed in 2021, alleged that as a National Securities Corporation representative, he made excessive trades. The complaint reached a settlement of $37,500. “I am not a named party to this arbitration,” Mr. Huber wrote in a statement included with the disclosure. “This arbitration brought against National Securities Corp. was from a former client of the firm. I have never spoken to, solicited or recommended any buy, sell or hold recommendations to the clients… I intend to seek expungement of this matter from my CRD record and any other relief as may be appropriate.”

A third investor complaint, filed in 2016, alleged that as a representative of Newbridge Securities and National Securities, he recommended unsuitable investments, made unauthorized trades, acted negligently, breached his fiduciary duty, and misrepresented material facts. The complaint reached a settlement of $8,500.

According to the Financial Industry Regulatory Authority, Dieter Huber holds 28 years of securities industry experience. Based in Red Bank, New Jersey, he has been registered as a broker with Aegis Capital Corporation since 2016. His past registrations includeNational Securities Corporation, Newbridge Securities Corporation, Prestige Financial Center, First Montauk Securities, Coleman & Company, and RD White & Company. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7. He holds 41 state licenses. (Information current as of October 19, 2025.)

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