| Read Time: 2 minutes | Aegis Capital Corp Complaints | Maxim Group Complaints | News & Articles |


Surage Perera Formerly With Aegis Capital Corp. and Maxim Group LLC Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Surage Perera formerly with Aegis Capital Corp.?

Surage Perera

Surage Perera (CRD #4716321) who was formerly registered with Aegis Capital Corp. and located in Melville, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Surage Perera was associated with Maxim Group LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Surage Perera has had his own share of regulatory problems. He refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations that he had defrauded a customer while he was associated with a member firm. Consequently, he was permanently barred from any further association with any member firm in any capacity. The United States SEC filed an action against Surage Perera in March, 2023 for defrauding at least one investor out of millions of dollars by lying about investment opportunities and strategies; misappropriating the investor’s money by, in part, not purchasing the securities she subscribed to through the brokerage firm and using a substantial portion of her money to engage in high-volume, highly leveraged trading and other securities; lying to the investor about non-existent investment profits; and concealing large trading losses. The SEC’s civil action is still pending.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Surage Perera Customer Complaints

Surage Perera has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled by Prestige Financial Center in favor of the investor. There are currently 3 customer complaints still pending with Aegis Capital Corp. for the advisor’s alleged misconduct. 2 of those customer complaints have evolved into FINRA arbitration proceedings.

Allegations Against Surage Perera

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

  • Misrepresentation relating to an investment recommendation of a structured products.
  • Fraud, negligence and misrepresentation of material facts related to a private placement.
  • Unsuitable investment recommendations and misrepresentations related to another private placement investment an option transactions.

Surage Perera Red Flags & Your Rights As An Investor

Of course, Surage Perera 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 Surage Perera at Aegis Capital Corp. and Maxim Group LLC on alert to review carefully the activity and performance of their accounts and question whether Surage Perera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. and Maxim Group LLC 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?

best investment fraud lawyers

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 Aegis Capital Corp. Due To Surage Perera

If you have questions about Aegis Capital Corp., Maxim Group LLC and/or Surage Perera 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 $170 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars