July 2016-Boca Raton, Florida
The FINRA records of Paul A. Falcon , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute and 3 prior final customer disputes.
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 dispute, received in April 2016 , a customer of Aegis Capital alleges damages of $190,672 for unsuitable investment recommendations and poor performance of the overall portfolio from August 2013-February 2016.
Falcon has been employed by Aegis Capital since 7/2013. Prior to that he was employed by Global Strategic Investments and before that Statetrust Investments.
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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