August 2016-New York
The FINRA records of David Perez , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final customer dispute and 5 outstanding judgment/liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the pending dispute, a customer of Aegis Capital alleges damages of $79,548 for excessive trading, poor performance and failure to follow instructions for the period from September 2012 through April 2013.
In a prior matter, FINRA Case#14-01077, a customer of Aegis Capital alleged damages of $90,800 for excessive trading and poor performance. That case was settled for $38,000.
Perez discloses 5 outstanding tax liens, including one to the Internal Revenue Service in the amount of $123,372.
Perez has been employed by Aegis Capital Corp. since 3/2010.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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