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Aegis Capital Corp. Financial Advisor Charles Poulin Accused of Unsuitable Recommendations

Posted on Monday, November 12th, 2018 at 1:29 pm    

Aegis Capital Corp. logo

Erez Law is currently investigating Aegis Capital Corp. financial advisor Charles Poulin (CRD# 6229037) regarding unsuitable investment recommendations. Poulin has been registered with Aegis Capital Corp. in New York, New York since 2014.

Poulin has been the subject of one customer complaint in 2018, according to his CRD report:

February 2018. “Time frame: unspecified. Claimant alleges unauthorized trading and unsuitable investment recommendations.” The customer is seeking $32,398 in damages and the case is currently pending.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Aegis Capital Corp. may be liable for investment or other losses suffered by Poulin’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.