Customers Sue Aegis Capital Corp For Unreasonable Investment Advice

Aegis Capital Corp (CRD#: 15007, New York, New York) is a brokerage firm established on January 15, 1984 that is regulated by Financial Industry Regulatory Authority (“FINRA”) and an investment advisor firm registered with the Securities and Exchange Commission (“SEC”). Since establishment, Aegis has amassed 32 disclosures regarding accusations of its misconduct. It reported 30 regulatory actions, a civil event and a customer-initiated, investment-related arbitration so far. Aegis customers, including those listed below, have alleged sales practices violations by Aegis registered representative and Charles Poulin.

Aegis Customers Allege Brokers Made Bad Recommendations

February 12, 2018 Arbitration Regarding Charles Poulin

Charles Poulin (CRD#: 6229037, New York, New York) has been a registered representative of Aegis Capital Corp. since July 2, 2014. Since he has been employed with the firm, his sales practices resulted in a customer filing FINRA Arbitration #18-00408 on February 12, 2018. From the customer’s standpoint, Poulin made unsuitable investment recommendations. In addition to claiming bad advice, the customer alleged that Poulin made trades in the customer’s account that were not authorized. Therefore, the customer requested $32,398.00 in damages. This Arbitration is still underway. Prior to joining Aegis Capital Corp., Poulin was employed by Rockwell Securities LLC (May 2, 2004 to August 6, 2014).

Have you incurred investment losses from Aegis Capital Corp. broker  Charles Poulin? If you have, consider contacting Soreide Law Group at (888) 760-6552. Our firm has recovered millions of dollars for investors who have been victimized by unsuitability and misrepresentation. We represent clients on a contingency fee basis and advance all costs.