Broker Investigation: Charles Poulin

Charles Poulin (CRD#: 6229037) is an actively registered FINRA broker. Since July of 2014, Mr. Poulin has been employed at Aegis Capital Corp. based in New York, New York. Earlier this year, an investor filed a complaint against this broker. Below, the securities fraud lawyers at Sonn Law Group review the allegations raised against this broker.

Investor Complaint: Aegis Capital Corp. Broker Charles Poulin

According to information on BrokerCheck, an unspecified investor filed a complaint against Aegis Capital broker Charles Poulin in February of 2018. The investor is raising two different causes of action in the case:

  1. The investor alleges that Mr. Poulin made unauthorized trades; and
  2. The investor alleges that Mr. Poulin made unsuitable investment recommendations.

Under Financial Industry Regulatory Authority rules, brokers must obtain the proper authority before making any trades or transactions within their customer’s brokerage account, and they must always ensure that their investment recommendations/investment advice is suitable for each individual client.

In this case, the investor is seeking $32,398.00 in financial compensation . As of November of 2018, FINRA lists the complaint against Mr. Poulin as ‘pending’. There has been no finding of misconduct, nor has there been any admission of wrongdoing by this broker.

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