Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Court (Court), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Court recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on May 28, 2025.
Without admitting or denying the findings, Court consented to the sanction and to the entry of findings that he exercised discretion without written authorization in connection with trades in 10 customers’ accounts. The findings stated that although the customers understood that Court was placing trades in their accounts, none had given him prior written authorization to exercise discretion in their accounts and Court’s member firm did not accept any of the customers’ accounts as discretionary.