Kenneth L. Jones, formerly of Aegis Capital Corp., Barred from Securities Industry
Have you lost money with financial advisor Kenneth Jones of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kenneth L. Jones. FINRA barred Jones from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Jones regarding allegations that he engaged in outside business activities without disclosing such to his firm, Aegis Capital Corp. FINRA was also investigating him regarding municipal bond trades transacted by Jones while he was with Aegis Capital Corp.
Kenneth Jones was a financial advisor and registered representative of Aegis Capital Corp. from March 2010 to May 2017. He worked at a branch office in New York, New York. Jones has been the subject of five customer complaints.
Brokerage firms like Aegis Capital Corp. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York City. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Aegis Capital Corp.
Click to view: Jones, Kenneth FINRA AWC
Click to view: Jones, Kenneth BrokerCheck 7.28.17
If you lost money with Kenneth Jones or Aegis Capital Corp., please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.