FINRA Issues Bar To Aegis’ Surage Perera

Soreide Law Group is actively investigating potential claims on behalf of investors who sustained losses associated with Surage Kamal Roshan Perera (CRD: 4716321, Melville, New York). Specifically, Perera was affiliated with Aegis Capital Corp. from April 18, 2018, to September 12, 2022, and prior to that, with Maxim Group LLC from November 21, 2017, to March 28, 2018. Evidently, Perera has been subject to several regulatory sanctions and investor complaints, notably involving allegations of misrepresentation and suitability.

FINRA Sanctioned Perera For Refusing To Appear For On-The-Record Testimony

Notably, on July 6, 2023, FINRA issued Case: 2023078427601 barring Surage Perera as a securities broker. Specifically, FINRA alleged that Perera refused to appear for on-the-record testimony in connection with its investigation into allegations of mistreating a client while associated with Aegis Capital Corp.

SEC Charged Surage Perera With Misappropriation Of Investor's Funds

Also, on March 27, 2023, the United States Securities and Exchange Commission initiated Case: 2:23-cv-02316 about Surage Perera. Specifically, SEC alleged that Perera, through his firm Janues Capital Incorporated, lied to an investor about investment opportunities and misappropriated funds. Therefore, the SEC intends to sanction Perera with civil and administrative penalties, fines, disgorgement, and an injunction. Additionally, the SEC seeks to prohibit Perera from serving as an officer or director.

Particularly, SEC contends that Perera lied to an investor, claiming Janues had access to restricted securities at discounted prices and promised a trading strategy that would prevent losses and guarantee returns between nine to fifty percent. Namely, Perera transferred at least $3.5 million of the investor's funds to a brokerage account in his wife's name, engaging in highly speculative, leveraged trading, resulting in over $3 million in losses. Furthermore, Perera allegedly concealed this misappropriation and losses by providing false trade confirmations and account statements.

Aegis Capital Corp. Investor Accused Perera Of Misrepresentation

Evidently, on June 20, 2023, a client of Aegis Capital Corp. filed a complaint about Surage Perera. The client specifically alleged that Perera had made misrepresentations relating to an investment recommendation made between October 2019 and the present. As a result of this, the client supposedly sustained damages on a structured product. Therefore, the client is seeking $100,000 in compensation either from Aegis Capital Corp. or Perera. This complaint remains pending.

Surage Perera Disclosed Negligence, Omissions Allegations By Aegis Capital Corp. Client

On May 2, 2023, an Aegis Capital Corp. client brought FINRA Arbitration: 23-01192. Specifically, the client accuses Perera of negligence, misrepresentation, and the omission of material facts during the period of February 2022 to August 2022. Supposedly, the client suffered damages on private placements, and is seeking $3,300,000 in damages. This matter is ongoing.

Aegis Capital Corp. Investor Accused Perera Of Misrepresentation, Breach Of Contract

Also, on May 9, 2023, an Aegis Capital Corp. client lodged FINRA Arbitration: 23-01265 about Surage Perera. The client particularly alleged issues of suitability, misrepresentation, and breach of contract. As a consequence, the investor claims to have sustained damages on a variety of products including equity listed stocks and private placements. The client has requested $854,000 in damages either from Aegis Capital Corp. or Perera. Evidently, this arbitration case is still pending resolution.

Seek Legal Counsel If You Experienced Losses With Surage Perera

Did you experience losses because of Surage Perera? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Specifically, Soreide Law Group has successfully recovered money for investors throughout the United States. Moreover, we operate on a contingency fee basis and advance all costs. Perera and the brokerage firms he worked for deny accusations of sales practice violations.