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Nick Son: Suitability Complaints

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Nick SonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that New York-based Aegis Capital Corporation broker Nick Son has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Son (CRD# 1178523).

Nick Son has spent 33 years in the securities industry and has been registered with Aegis Capital Corporation in New York, New York since 2014. Previous registrations include Alexander Capital in New York, New York (2012-2014); WTS Proprietary Trading Group in New York, New York (2011-2012); Aegis Capital Corporation in New York, New York (2010-2011); Gunnallen Financial in New York, New York (2002-2010); InvestPrivate in New York, New York (2001-2002); Josepthal & Company in New York, New York (1998-2001); JW Charles Securities in Boca Raton, Florida (1997); Whale Securities in New York, New York (1996-1997); State Capital Markets Corporation in New York, New York (1995-1996); Gruntal & Company in New York, New York (1993-1995); Polaris Financial Services in Concord, New Hampshire (1992-1993); Mony Securities Corporation in New York, New York (1990-1992); the Mutual Life Insurance Company of New York in New York, New York (1990); and First Investors Corporation in New York, New York (1983-1990). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 22, 1993; Series 7 (General Securities Representative Examination), which he obtained on July 30, 1992; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 30, 1983; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on May 8, 1987. He is a registered broker and investment adviser with 39 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

In February 2018 a customer alleged Nick Son, while employed at Aegis Capital Corporation, recommended unsuitable investments in unspecified products and executed unauthorized trades. The customer is seeking $224,968 in damages in the pending complaint.

In 2016 a customer alleged Nick Son, while employed at Aegis Capital Corporation, made unsuitable transactions and used margin. The customer is seeking unspecified damages in the pending complaint.

In 1996 a customer alleged Nick Son, while employed at State Capital Markets Corporation, sold unregistered securities. The complaint settled for $14,500.

If you or someone you know has complaints regarding Nick Son, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.