Nov 2, 2023

Surage Perera formerly with Aegis Capital Corp.

DID SURAGE KAMAL ROSHAN PERERA CAUSE YOU INVESTMENT LOSSES? Surage Perera Formerly With Aegis Capital Corp. and Maxim Group LLC Has 4 Customer Complaints For Alleged Broker Misconduct 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: 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? 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.

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Jun 15, 2023

Robert Ford of Maxim Group LLC

DID ROBERT PATRICK FORD CAUSE YOU INVESTMENT LOSSES? Robert Ford Of Maxim Group LLC Has A Customer Complaint For Alleged Broker Misconduct Robert Ford Customer Complaint Robert Ford has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the advisor did not follow instructions to liquidate the client’s entire portfolio in a timely manner. Maxim Group settled the customer complaint favorably with the investor. Robert Ford Red Flags & Your Rights As An Investor Of course, Robert Ford 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 Robert Ford at Maxim Group LLC on alert to review carefully the activity and performance of their accounts and question whether Robert Ford has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Maxim Group LLC also raises questions about the brokerage firm’s 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 Maxim Group LLC Due To Robert Ford If you have questions about Maxim Group LLC and/or Robert Ford 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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Jan 22, 2023

J.M. Cayce Formerly With Kalos Capital, Inc.

DID J.M. CAYCE CAUSE YOU INVESTMENT LOSSES? J.M. Cayce Formerly With Kalos Capital, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is J.M. Cayce Formerly With Kalos Capital, Inc.? J.M. Cayce (CRD #4189311) who was formerly registered with Kalos Capital, Inc. and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Kalos Capital, Inc., J.M. Cayce was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. J.M. Cayce Customer Complaints J.M. Cayce has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Kalos Capital in favor of the investor. The other customer complaint was denied by Citigroup Global Markets and the customer took no further action. Allegations Against J.M. Cayce A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: J.M. Cayce Red Flags & Your Rights As An Investor Of course, J.M. Cayce 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 J.M. Cayce at Kalos Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether J.M. Cayce has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kalos Capital, Inc. also raises questions about the brokerage firm’s 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 Kalos Capital, Inc. Due To J.M. Cayce If you have questions about Kalos Capital, Inc. and/or J.M. Cayce 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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Mar 8, 2022

Robert Mann of National Securities

DID ROBERT ALLAN MANN CAUSE YOU INVESTMENT LOSSES? Robert Mann Of National Securities, National Asset Management And Formerly With Maxim Group Has 3 Customer Complaints For Alleged Broker Misconduct Who is Robert Mann of National Securities? Robert Mann (CRD #2847134) who is currently registered with National Asset Management, National Asset Management and located in Plainview, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities and National Asset Management, Robert Mann was associated with Maxim Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mann Customer Complaints Robert Mann has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Robert Mann’s customer complaints were settled in favor of investors. Allegations Against Robert Mann A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Robert Mann’s unsuitable investment practices from the account’s inception. Client claimed that Robert Mann purchased unsuitable securities in her account, and claimed that Mr. Mann charged excessive commissions. Customer alleged Robert Mann’s unsuitability, misrepresentation, breach of contract, breach of fiduciary duty, unauthorized trading, fraud, unsuitable/inappropriate use of margin and churning or excessive trading activity. Robert Mann Red Flags & Your Rights As An Investor Of course, Robert Mann 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 Robert Mann at National Securities, National Asset Management, and Maxim Group on alert to review carefully the activity and performance of their accounts and question whether Robert Mann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities, National Asset Management, and Maxim Group 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 National Securities Due To Robert Mann If you have questions about National Securities, National Asset Management, Maxim Group, and/or Robert Mann 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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Jan 20, 2022

Thomas Duggan of Aegis Capital Corp.

DID THOMAS DUGGAN CAUSE YOU INVESTMENT LOSSES? Thomas Duggan with Aegis Capital Corp. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Thomas Duggan with Aegis Capital Corp.? Thomas Duggan (CRD #2757615) who is currently 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., Thomas Duggan was associated with Maxim Group LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Aegis Capital Corp. Broker Misconduct In his career, Thomas Duggan has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last 2 years to recover investment losses. One of Thomas Duggan’s 3 customer complaints was settled in favor of investors. There are currently 2 pending customer complaints filed against Thomas Duggan’s current employer Aegis Capital Corp. for investment losses caused by his alleged misconduct. Allegations Against Thomas Duggan A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The claimant alleged unsuitable investment recommendations, common law fraud, gross negligence, breach of contract, and elder abuse by Thomas Duggan at Aegis Capital Corp. The claimant alleged breach of fiduciary duty, breach of contract, and misrepresentations made by Thomas Duggan in connection with the investments. Thomas Duggan Red Flags & Your Rights as An Investor Of course, Thomas Duggan 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 that should put all current and former customers of Thomas Duggan at Aegis Capital Corp. and Maxim Group LLC on alert to review carefully the activity and performance of their accounts and question whether Thomas Duggan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp. about Thomas Duggan also raises questions about its 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 Corp. If you have questions about Aegis Capital Corp., Maxim Group LLC, and/or Thomas Duggan 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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