November 2020- Red Bank, NJ
According to publicly available records Johnny Guan (CRD#5711977), a stockbroker employed with Aegis Capital discloses two settled 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 2016 and 2019, customers of Aegis Capital and Guan’s previous employer, National Securities Corp., alleged among other things, unsuitability, over concentration, unauthorized, transactions, breach of fiduciary duty, material misrepresentations, negligence, failure to supervise and violation of FINRA rules. The cases were settled for $13,199.
Guan has been employed with Aegis Capital Corp. since November of 2012. Before that he was employed by National Securities Corporation and Obsidian Financial Group.
If you had an account with Johnny Guan that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
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.
Florida-561 391 1900