Last Updated: June 2025
Brian Court Investigation Summary
Here’s what you need to know about former Holtsville, NY, stockbroker Brian Court:
- Name: Mr. Brian Court
- Current Employer: Suspended by FINRA (6/2/2025-7/1/2025)
- Prior Employers: Aegis Capital Corp., J.P. Turner & Company, GunnAllen Financial
- DBA: Brian Court, CFP
- CRD Number: 2591547
- Can he be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Highest Reported Settlement: $150,000
Did You Lose Money With Brian Court As Your Stockbroker?
In 5/2025 FINRA suspended Brian Court for one month to resolve allegations that he exercised discretion (traded without authority) without written authorization in 10 customer accounts.
Four customers of Aegis and one customer of a prior employer, GunnAllen Financial, have been paid settlements to resolve FINRA arbitrations. These investments involved include alternative investments, real estate securities, limited partnerships and direct investments.
Settlment amounts were $40,000, $150,000, $34,500, $35,000 and $67,500.
Other Cases Involving Unauthorized Trading
Discretionary vs. Non-Discretionary Accounts
Allegations of Broker Misconduct Against Brian Court
Allegations of wrongdoing by Brian Court by these former customers include:
- Unauthorized trading
- Excessive trading (churning)
- Negligence and breach of fiduciary duty
- Misrepresentation and omission of material facts
- Failure to follow client instructions
- Unsuitable Investment Recommendations
- Failure to conduct adequate due diligence
- Over-concentration
What is Excessive Trading (Churning)?
Churning According to U.S. Securities and Exchange Commission (SEC)
Other Investigations Involving Churning
Investigations involving Over-Concentration
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Aegis Capital and Aegis Capital Brokers-Lawsuits, Arbitrations & Disputes
If you invested with Brian Court and suspect your losses stemmed from misconduct, contact us for a free consultation. You may qualify to recover your losses through FINRA arbitration.
Attorney Bob Rex, based in Boca Raton, FL, and Austin, TX, represents clients nationwide in securities arbitration and investment loss recovery.
📞 Call (877) 224-3199 now to speak with a securities fraud attorney at no cost. Most cases are handled on a contingency fee basis — you don’t pay unless we recover for you.