Brian Kenneth Court, of Melville, New York, a stockbroker currently registered with Aegis Capital Corp., has been named in a customer initiated investment related written complaint on February 24, 2017, in which the customer requested $65,451.00 in damages based upon allegations that Court, from June of 2015 to November of 2016, churned the customer’s account, and effected transactions which were neither suitable for the customer nor authorized.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Court has been named in three additional customer initiated investment related disputes containing allegations of Court’s wrongdoing while employed with Gunallen Financial and J.P. Turner & Company LLC. Specifically, on August 21, 2009, a customer filed an investment related written complaint involving Court’s conduct, in which the customer requested $30,000.00 in damages based upon allegations that Court failed to execute the customer’s instructions to liquidate equity holdings in the customer’s investment account.
Subsequently, on September 14, 2011, a customer initiated investment related arbitration claim regarding Court’s activities was resolved for $67,500.00 in damages based upon allegations of churning, unsuitability, and unauthorized trading pertaining to variable annuities, oil & gas investments, equities, and direct investment transactions. Additionally, on April 7, 2011, a customer filed an investment related written complaint involving Court’s conduct, where the customer alleged more than $5,000.00 in damages based upon allegations that Court made investment related misrepresentations to the customer, and effected unsuitable private placement transactions in the customer’s investment account.
Guiliano Law Group
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