Malcolm Segal (CRD #1723563, Langhorne, Pennsylvania) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Segal consented to the sanction and to the entry of findings that he failed to provide documents and information or appear for testimony, as FINRA requested, involving an investigation into allegations that he transferred member firm customer funds via wire to an outside business under his control.
For the full FINRA findings, see FINRA Case #2014041990901.
According to his FINRA Broker Report, Segal was registered with Aegis Capital Corp from 04/2011 – 07/2014. His FINRA Broker Report also indicates that he has been the subject of at least 5 customer complaints, with at least one alleging misappropriated funds in a “CD.”
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