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.
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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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