DID JON RAYMOND LEE CAUSE YOU INVESTMENT LOSSES?
Jon Lee Formerly With AAG Capital, Inc. and Aegis Capital Corp. Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Jon Lee formerly with AAG Capital, Inc.?
Jon Lee (CRD #2354294) who was formerly registered with AAG Capital, Inc. and located in Sarasota, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to AAG Capital, Inc., Jon Lee was associated with Aegis Capital Corp. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Jon Lee Customer Complaints
Jon Lee has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were settled by Jon Lee’s former employers in favor of the investors. Another customer complaint was denied by Citigroup Global Markets and the investor filed took no further action. There is currently one customer complaint in a FINRA arbitration proceeding against Aegis Capital Corp. for Jon Lee’s alleged misconduct that is still pending.
Allegations Against Jon Lee
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Fraud, breach of contract, breach of fiduciary duty, and negligence related to an alternative investment.
- Failure to follow customers instructions.
- Misrepresentation related to surrender charge upon switch of variable annuity contracts.
- Failure to submit IRA conversion paperwork in a timely manner.
Jon Lee Red Flags & Your Rights As An Investor
Of course, Jon Lee did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jon Lee at AAG Capital, Inc. and Aegis Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Jon Lee has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at AAG Capital, Inc. and Aegis Capital Corp. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At AAG Capital, Inc. Due To Jon Lee
If you have questions about AAG Capital, Inc., Aegis Capital Corp. and/or Jon Lee and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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