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June 20, 2017
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Current Investigations
FINRA Fines Aegis Capital Corporation According to FINRA, Aegis Capital Corporation (CRD #15007, New York, New York) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which the firm was censured; fined $52,000; ordered to pay $615.87, plus interest, in restitution to investors; and required to revise its
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March 17, 2017
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Current Investigations, Securities Fraud
According to an SEC filing, three regulatory agencies are investigating Aegis Capital Corp. Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the
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August 5, 2015
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Blog, Securities Fraud
The New York based brokerage firm, Aegis Capital Corp, agreed to pay $950,000 to settle allegations with the Financial Industry Regulatory Authority (FINRA). The regulator accused Aegis of the improper sales of billions of shares in unregistered penny stocks and for supervisory lapses. FINRA found that from April 2009
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