March 2021 - FINRA Complaint Alleges Broker Kishan Parikh made Unsuitable Investments, Excessive Trades
FINRA has filed a complaint against financial advisor Kishan Parikh (Sean Parikh, CRD #5506554) for allegations of excessive trading and unsuitable recommendations.
FINRA alleges that Parikh, while associated with Aegis Capital Corp. made unsuitable recommendations and excessively traded the accounts of five of his customers, from August 2014 through November 2016. Parikh, who purportedly controlled the trading in the Customers’ accounts, allegedly executed 442 trades with a total principal value of approximately $31.1 million.
Parikh’s alleged excessive and unsuitable trading resulted in annualized turnover rates ranging from 10.9 to 199.8 and annualized cost-to-equity ratios (or break-even points) ranging from 27.5% to 59.7%, according to FINRA. Consequently these trades reportedly caused combined losses of more than $33,000. Apparently at the same time, Parikh’s trading purportedly generated gross sales credits and commissions of $179,112, of which Parikh received at least $89,000.
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