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Aegis Capital Corp. Fined $50,000 by FINRA

Aegis Capital Corp. Fined $50,000 by FINRA

Aegis Capital Corp. Fined $50,000 by FINRA 150 150 Rex Securities Law

 

 Aegis Capital Corp. (CRD #15007, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $50,000 and required to comply with an undertaking. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to provide timely information to FINRA in response to separate requests for information made pursuant to FINRA Rule 8210. ( FINRA Case #2013037139601)

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