Last Updated: February 2026 (Sarasota, FL)
Jon R. Lee Investigation Summary
Here’s what you need to know about Sarasota, FL, stockbroker Jon Lee:
- Name: Mr. Jon R. Lee
- Current Employer: Not currently registered with FINRA- RIA- TActive Advisors
- Previous Firms: Eagle Wealth Advisors, AAG Capital, Aegis Capital Corp., JHS Capital Advisors, Gunnallen Financial
- Function: Stock Broker/ Financial Advisor
- Other Business Affiliations: LCM Capital Advisors, Sarasota FL
- Aliases: None
- Primary Location: Sarasota, FL
- CRD 23554294
- Can Jon R. Lee be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $120,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jon Lee As Your Stockbroker?
In 6/2022 a customer of Aegis Capital Corp. filed a FINRA arbitration alleging that Jon R. Lee committed fraud, breach of fiduciary duty and negligence in connection with the recommendation to invest in alternative investments. The customer was paid $120,000 in 3/2024 to settle the matter.
In 10/2023 a customer of Eagle Wealth Advisors was paid $20,000 to resolve a claim alleging that Lee was liable for submitting an IRA conversion late causing avoidable income tax liability.
Allegations of Broker Misconduct Against Jon R. Lee
Customers of Jon R. Lee have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in alternative investments
- Fraud
- Breach of Contract
- Breach of Fiduciary Duty
- Negligence
- Failure to disclose surrender charge on annuity
- Filed IRA conversion late causing tax liability
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Jon Lee, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.