Advisor Alert: Our Attorneys Are Investigating Surage Kamal Roshan Perera For Investment Fraud
Did You Lose Money Because of Surage Perera?
Filed: March 6, 2024
Surage Perera (also known as Roshan Perera) currently has two (2) pending customer complaints and one (1) pending civil event. Overall, Perera has been the subject of one (1) regulatory event, one (1) civil event, and four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Surage Kamal Roshan Perera.
Who Is Surage Kamal Roshan Perera?
- Advisor Name: Surage Kamal Roshan Perera
- Aliases: Roshan Perera
- CRD: 4716321
- Location: Melville, New York
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Aegis Capital Corp., Maxim Group LLC, and Stokkings Capital LLC
- Number of Known Customer Complaints: 4
- Number of Known Regulatory Events: 1
- Number of Known Civil Events: 1
- Can Surage Perera Be Sued: Yes, in Private Arbitration
- Can Surage Perera’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $3,300,000
- Highest Settlement: $14,999.99
If you have suffered investment losses by Surage Perera, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Surage Perera For Broker Misconduct
As of this publication date, Surage Perera has been the subject of 4 customer disputes, 1 regulatory event, and 1 civil event. Let’s review them below.
In July 2023, FINRA initiated a regulatory action against or in reference to Surage Perera for allegedly refusing to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations that he had defrauded a customer while he was associated with a member firm.
In June 2023, a complaint was filed against or in reference to Surage Perera by a customer of Aegis Capital Corp. alleging misrepresentation relating to an investment recommendation. Per the customer, he/she lost over $100,000 because of Perera’s actions. On November 8, 2023, Perera settled the claim for $14,999.99, and some or all of this amount may have been paid by Perera’s employer and/or insurance carrier.
In May 2023, a FINRA arbitration was filed against or in reference to Surage Perera by a customer of Aegis Capital Corp. alleging suitability, misrepresentation, fraud, and breach of contract. Per the customer, he/she lost over $854,000 because of Perera’s actions. As of this publication date, this claim remains pending.
In May 2023, a FINRA arbitration was filed against or in reference to Surage Perera by a customer of Aegis Capital Corp. alleging fraud, negligence, misrepresentation, and omission of material facts. Per the customer, he/she lost over $3,300,000 because of Perera’s actions. As of this publication date, this claim remains pending.
In March 2023, the United States Securities and Exchange Commission initiated a civil action against or in reference to Surage Perera for allegedly defrauded at least one investor out of millions of dollars by lying about investment opportunities and strategies; misappropriating the investor’s money by, in part, not purchasing the securities she subscribed to through Janues and using a substantial portion of her money to engage in high volume, highly leveraged trading in other securities; lying to her about non-existent investment profits; and concealing large trading losses.
In February 2009, a FINRA arbitration was filed against or in reference to Surage Perera by a customer of Prestige Financial Center, Inc. alleging unauthorized purchase of 750 shares of (MT:NYSE). Per the customer, he/she lost over $67,607 because of Perera’s actions. On October 23, 2009, Perera settled the claim for $12,000.
How To File A Claim Against Surage Perera (previously with Aegis Capital Corp., Maxim Group LLC, and Stokkings Capital LLC) To Get Your Money Back
If you have questions about Surage Perera, Aegis Capital Corp., Maxim Group LLC, Stokkings Capital LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.