March 2017-New York
According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies:
- FINRA-The Financial Industry Regulatory Authority
- SEC-Securities & Exchange Commission
- FINCEN-Treasury Department’s Financial Crimes Enforcement Network
The disclosure was recently made in Note 8 to the Annual Audited Report, Form X-17A-5, filed by Aegis Capital with the SEC, located on page 11 of the following document:
Aegis Capital Corp. is headquartered in New York and has over 400 registered representatives.
Aegis discloses 26 prior regulatory events. In an August 2015 settlement with FINRA, Aegis agreed to a fine of $950,000 to resolve allegations of improper sales of billions of shares unregistered penny stocks and failure to supervise anti-money laundering charges. More recently, in March 2017, Aegis paid a fine of $52,000 and was ordered to make restitution and disgorgement to resolve allegations that the firm’s supervisory procedures were insufficient.
If you have questions about an investment account at Aegis Capital Corporation, call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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