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Johnny Guan Of Aegis Capital And Formerly With National Securities Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Johnny Guan of Aegis Capital?

Johnny Guan (CRD #5711977) who is currently registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Johnny Guan was associated with National Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Johnny Guan Customer Complaints

Johnny Guan has been the subject of 2 customer complaints that we know about. Both of Johnny Guan’s 2 customer complaints were settled in favor of investors.

Allegations Against Johnny Guan

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Johnny Guan’ alleged unsuitable investment recommendations, misrepresentations, negligence.
  • Claimants alleged Johnny Guan’s unsuitable investment recommendations, over concentration, unauthorized transactions, breach of fiduciary duty.

Johnny Guan Red Flags & Your Rights As An Investor

Of course, Johnny Guan 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 Johnny Guan at Aegis Capital and National Securities on alert to review carefully the activity and performance of their accounts and question whether Johnny Guan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and National Securities 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.

File A Claim To Recover Your Investment Losses At Aegis Capital Due To Johnny Guan

If you have questions about Aegis Capital, National Securities, and/or Johnny Guan 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $125 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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