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Tag: Aegis Capital Corp violation

Current Investigations

Aegis Capital Corporation Fined for Inaccurate Reporting

FINRA Fines Aegis Capital Corporation According to FINRA, Aegis Capital Corporation (CRD #15007, New York, New York) submitted a Letter of...

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Current Investigations, Securities Fraud

Aegis Capital Corp. Investigation

Regulatory Agencies Investigation of  Aegis Capital Corp. Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415...

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Blog, Securities Fraud

Aegis Capital Corp Accused of Selling Unregistered Penny Stocks

The New York based brokerage firm, Aegis Capital Corp, agreed to pay $950,000 to settle allegations with the Financial Industry Regulatory...

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