Sean Sullivan Investigation September 2022- Melville, NY According to publicly available records, Sean T. Sullivan, a former Aegis Capital broker discloses customer disputes and a termination from employment. The Financial Industry…
read moreRobert MacNamee Investigaton April 2022- Red Bank, NJ According to publicly available records, Robert P. MacNamee, a former Aegis Capital broker discloses customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…
read moreDaniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill, a former stockbroker registered with Aegis Capital Corporation, disclose a…
read moreDouglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered and who was last…
read moreMarch 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 &…
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