Surage Kamal Roshan Perera (also known as Roshan Perera), a previously registered broker, was barred by FINRA in connection with allegedly defrauding a customer and is subject to multiple customer dispute disclosures, according to his Brokercheck Report.
Rosca Scarlato LLC attorney Alan Rosca and his colleagues are investigating the circumstances surrounding Perera’s FINRA sanction and customer dispute disclosures. Investors who are concerned about their investments with Roshan Perera may contact Alan Rosca for a free case evaluation or to provide any helpful information by calling 888-998-0530 toll free, emailing arosca@rscounsel.law, or through the contact form found on our webpage.
Roshan Perera Was Barred By FINRA
In July of 2023, FINRA barred Roshan Perera following his refusal to provide on-the-record testimony requested by FINRA in connection with an investigation into allegations that Perera had defrauded a customer, according to a Letter of Acceptance, Waiver, and Consent.
Without admitting or denying FINRA’s findings, Roshan Perera agreed to being permanently barred from associating with any FINRA member in all capacities.
Perera Subject to a Securities and Exchange Commission Regulatory Action and Temporary Restraining Order
In March of 2023, the Securities and Exchange Commission (“SEC”) filed a complaint against Surage Kamal Roshan Perera and his company, Janues Capital Incorporated, alleging that between February 2022 and March 2023, Perera defrauded at least one investor our of millions by, among others, misappropriating funds, and lying about investment opportunities.
According to the SEC, Perera and Janues used at least $3.57 million of the investor’s $4.3 million funds to engage in highly speculative, leveraged trading, and ultimately misappropriated at least $3.3 million.
The SEC further alleges that Perera further attempted to hide the losses by using funds received from others sources to make Ponzi-like payments to the investor.
Following SEC’s request, the Court entered a Temporary Restraining Order freezing Perera’s assets on March 27, 2023. The SEC’s case is pending as of the date of this article.
Concerned about investments with
Criminal Charges Announced Against Perera
In a parallel action, the U.S. Attorney’s Office for the Eastern District of New York announced the indictment and arrest of Surage Roshan Perera charging him with securities fraud, investment advisor fraud, wire fraud, and money laundering, according to a press release dated March 27, 2023.
Multiple Customer Dispute Disclosures Found on Perera’s Brokercheck
A customer dispute disclosure was reportedly received in June of 2023, which alleged misrepresentation in connection to a structured product and requested $100,000 in alleged damages.
Another customer dispute disclosure dated May 9, 2023, alleged fraud, breach of contract and suitability, among others (Case #: 23-01265) and requested $854,000 in alleged damages.
A third customer dispute disclosure dated May 2, 2023, alleged fraud, negligence and misrepresentation, among others, and the client requested $3,300,000 (Case #: 23-01192).
All three customer dispute disclosures allege that the employing firm when the activities occurred was Aegis Capital Corp.
Roshan Perera Had Been a Registered Broker Since 2003
According to his Brokercheck, Roshan Perera most recently was registered as a broker with AEGIS Capital Corp., located in Melville, New York, from 2018 to 2022. From 2017 to 2018, Perera reportedly served as a broker for Maxim Group LLC, in New York, New York.
Potential Compensation May Be Available for Concerned Perera Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating circumstances surrounding previously registered broker and investment adviser Roshan Perera’s regulatory sanctions and multiple customer dispute disclosures.
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. This means that it advances the case costs and expenses, and fees are only paid from any compensation retrieved for clients. Attorney Alan Rosca, an investment lawyer and former adjunct professor of securities regulation, has over 14 years of experience representing investors in cases alleging broker misconduct.
Investors who are concerned about their investments with Roshan Perera may contact attorney Alan Rosca for a free no-obligation consultation by calling toll-free 888-998-0530, via email at arosca@rscounsel.law, or through the contact form provided on our webpage.
It is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any Brokercheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. Readers should note that sometimes brokers may be able to expunge past customer complaints from their Brokercheck record, such that complaints referenced as of the date of this blog may not necessarily be reflected in future versions of the Brokercheck record. While the customer complaints mentioned in the Brokercheck report allege misconduct by Surage Kamal Roshan Perera, the Brokercheck report does not appear to indicate whether he was a named party to those customer complaints, or the customers took action solely against the broker-dealer firm(s) that employed him at the time of the alleged conduct. Readers interested to learn more are encouraged to read the Brokercheck report or contact the Rosca Scarlato investor lawyers.
