Michelle Perres: $100K-$500K Complaint Against Aegis Advisor

A recent investor complaint against Melville financial advisor Michelle Perres (CRD# 4350152) alleges that her conduct resulted in damages as high as $500,000. Financial Industry Regulatory Authority records indicate that she is a broker and an investment advisor with Aegis Capital Corporation.

Ms. Perres’ BrokerCheck report discloses multiple investor complaints. The most recent, filed in January 2023, alleges that as a representative of Aegis Capital Corporation, she breached contract and recommended unsuitable structured product investments between 2018 and 2020. The pending complaint alleges damages between $100,000 and $500,000.

An earlier investor complaint, filed in 2012, alleged that as a representative of Liberty Partners Financial Services, she sold a security to purchase another without authorization. The complaint reached a settlement of $50,000. In a comment included with the complaint’s disclosure, she wrote that she denied “any unauthorized trades” and added that the firm’s CFO “offered the settlement as a business decision in order to mitigate the costs of arbitration.”

According to the Financial Industry Regulatory Authority, Michelle Perres holds 21 years of securities industry experience. Based in Melville, New York, she has been a broker and an investment advisor with Aegis Capital Corporation since 2014 and 2017, respectively. Her past registrations include Global Arena Capital Corporation (Melville, New York; 2012-2014), BB Graham & Company (Melville, New York; 2012), Liberty Partners Financial Services (Melville, New York; 2011-2012), Global Arena Capital Corporation (New York, New York; 2009-2011), Clark Dodge & Company (Garden City, New York; 2007-2009), World Equity Group (Garden City, New York; 2006-2007), Andrew Garrett (New York, New York; 2004-2006), LH Ross & Company (Boca Raton, Florida; 2004), SW Bach & Company (Port Washington, New York; 2004), Gunnallen Financial (Tampa, Florida; 2004), and Continental Broker-Dealer (Carle Place, New York; 2001-2004). His credentials include the passage of seven securities industry qualifying exams: the Municipal Securities Principal Examination, or Series 53; the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Municipal Securities Representative Examination, or Series 52TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He currently holds 31 state licenses. (Information current as of March 1, 2023.)

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