How to Bring a Claim Against Aegis Capital Corp. Broker Nick Son
Posted on Saturday, June 23rd, 2018 at 8:15 am
Did you lose money investing with former Aegis Capital Corp. broker Nick Son (CRD# 1178523)? Son was registered with Aegis Capital Corp. in New York, New York from 2014 to 2020. Son has been registered with National Securities Corp. in New York, New York since January 2020.
Son has been the subject of four customer complaints between 2016 and 2020, two of which were closed without action, according to his CRD report. Recent complaints include:
April 2020. “Claimant alleges unsuitability, breach of contract, breach of fiduciary duty.” The customer is seeking $642,224 in damages.
February 2018. “Time frame: unspecified. Claimant alleges unauthorized trading and unsuitable investment recommendations.” The customer sought $224,968 in damages and the case was settled for $62,946.
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 Son’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.