Last Updated: September 2023 (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- Eagle Wealth Advisors
- Previous Firms: AAG Capital, Aegis Capital Corp., JHS Capital Advisors, Gunnallen Financial
- Function: Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: Sarasota, FL
- CRD 23554294
- Can Jon R. Lee be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $16,654
- Pending Customer Disputes Seeks Damages of $650,000
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 seeks damages of $650,000 is this currently pending matter.
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
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.
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.
