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Investor Alleges Jon Lee Committed Fraud in $650,000 Dispute

Jon Lee (CRD #: 2354294), a broker registered with AAG Capital, is involved in a pending dispute, according to his BrokerCheck record, accessed on September 3, 2022. Investors may have also engaged his services through Accurate Wealth Management or Eagle Wealth Advisors. Read on if you want to know more about Jon Lee’s conduct as a broker.

Investor Dispute

On June 21, 2022, an investor alleged that Jon Lee committed fraud, engaged in negligent conduct, and breached his contract. The client also alleges that Aegis Capital mis-sold her investments. The client seeks $650,000 in this pending dispute.

What is broker negligence?

Many forms of broker misconduct may qualify as negligent. Some examples include unsuitable investment recommendations, omissions of fact, and excessive trading. Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Jon Lee has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Jon Lee is a registered broker and a registered investment adviser in Florida.

He has also worked for the following firms:

  • AAG Capital (CRD #: 188) 
  • Aegis Capital (CRD#:15007)
  • JHS Capital Advisors (CRD#:112097)
  • GunnAllen Financial (CRD#:17609)
  • Citigroup Global Markets (CRD#:7059)
  • Legg Mason Wood Walker (CRD#:6555)
  • Raymond James & Associates (CRD#:705)

Kurta Law Can Help

If you worked with Jon Lee and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.