The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Surage Kamal Roshan Perera (also known as Roshan Perera) (CRD: 4716321, Melville, New York). Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Perera denies the allegations of sales practice violations. Read on to learn more about the allegations against Perera.
Particularly, on May 9, 2023, an Aegis Capital Corporation client filed FINRA Arbitration: 23-01265 about Surage Perera. Namely, the client alleged that Perera breached a contract, made misrepresentations, and made unsuitable recommendations. Because of this, the client allegedly sustained damages on options, stocks, and private placements. Therefore, the client requested $854,000 in compensation from Aegis Capital Corporation or Perera. Evidently, this arbitration is pending a resolution.
Specifically, a client of Aegis Capital Corporation contested Surage Perera’s sales practices by filing FINRA Arbitration: 23-01192 on May 2, 2023. Allegedly, Perera was negligent, made omissions, and made misrepresentations. It appears that Perera caused the client to sustain damages on private placements. Therefore, the client seeks compensatory relief from Aegis Capital Corporation or Perera in the amount of $3,300,000 in this ongoing matter.
Evidently, on March 27, 2023, SEC initiated Complaint No. 2:23-cv-02316 against Surage Perera. Particularly, SEC alleged that Perera acted unethically. Therefore, SEC intends to sanction Perera.
The Securities and Exchange Commission (the "SEC") accused Surage Perera and Janues Capital Incorporated of fraudulent activities. Supposedly, Perera deceived an investor by lying about investment opportunities and strategies. According to the complaint, he misappropriated the investor's money by not purchasing the securities she subscribed to and instead used a significant portion of her funds for high-volume, highly leveraged trading in other securities. SEC alleged that Perera also deceived the investor about non-existent investment profits and concealed substantial trading losses.
Perera allegedly falsely claimed that Janues had access to restricted securities at discounted prices through connections with large institutions. He also promised a trading strategy called "options straddles" that would prevent trading losses and guarantee returns on investments ranging from nine to fifty percent. These purportedly false promises convinced the investor to give Perera approximately $4.3 million.
Notably, SEC contends that Perera did not use the investor's funds to purchase the subscribed securities or engage in the promised "options straddles." Instead, he allegedly transferred at least $3.5 million of her funds to a brokerage account under his wife's name, Alahakoon. Supposedly, Perera used these funds for highly speculative and leveraged trading, resulting in over $3 million in trading losses.
Allegedly, to hide his misappropriation of the investor's funds and trading losses, Perera provided false trade confirmations and account statements that showed expected returns. Also, he allegedly used funds from other sources to partially repay the investor, further disguising his activities.
Based on the aforementioned actions, SEC’s Complaint alleges that Perera and Janues have violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Additionally, SEC claimed that Perera aided and abetted Janues' violations of the same securities laws.
Specifically, a client of Prestige Financial Center Inc. contested Surage Perera’s sales practices by filing FINRA Arbitration: 08-0496. Allegedly, Perera engaged in unauthorized trading. It appears that Perera caused the client to sustain damages on stocks. Therefore, Prestige Financial Center Inc. opted to settle the matter on October 23, 2009, by compensating the client in the amount of $12,000.
Have you incurred damages by investing with Surage Perera? If so, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your losses. Soreide Law Group, who has effectively recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Perera and investment firms Perera worked for deny any allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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