July 2016-New York
The FINRA records of Nick E. Son , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute, 4 prior customer disputes, and 2 outstanding judgment/liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the currently pending matter received by the company in April 2016, a customer of Aegis Capital alleges damages of $65,985 for high pressure sales tactics, misrepresentation and misleading information.
Son discloses the following outstanding judgment/liens:
- $2,628 in favor of AMEX Travel Services, filed in civil court for New York County
- $4,890 in favor of CitiBank filed in civil court for New York County.
Son has been employed by Aegis Capital since 9/2014. He was with Alexander Capital from 3/2012-9/2014 and WTS Proprietary Trading Group 12/2011-6/2012.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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