Nick Son, of New York, New York, a stockbroker with Aegis Capital Corp., was named in a pending customer dispute on April 19, 2016. Specifically, the customer requested $65,984.66 in damages after alleging that Son utilized high pressure sales tactics with the customer, and made misrepresentations and other misleading statements to the customer in connection with investment purchases.
Public Disclosure records reveal that Son has been subject to four additional customer disputes. On September 3, 1996, Son settled a customer dispute for $14,500.00 after the customer alleged that while Son was associated with State Street Capital Corp., he offered stock to the customer in non-registered securities in violation of the Texas State Securities Act.
On May 30, 2006, Son settled a customer dispute for $5,000.00 after the customer alleged that Son engaged in unauthorized trading in the customer’s account. On February 19, 2008, Son was subject to another customer dispute, in which the customer alleged $18,357.00 in damages amid allegations against Son of making unsuitable investment recommendations, and failing to properly correspond with the customer.
On June 8, 2010, another customer lodged a dispute against Son, claiming $7,211.00 in damages in connection with allegations against Son of failing to disclose fees that the customer was subject to, and for making unauthorized trades in the customer’s investment account.
Guiliano Law Group
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