Aegis Capital Corp. discloses 30 prior regulatory events on their FINRA records, including the following:
- March 2018-The US Securities and Exchange Commission (SEC) instituted cease and desist proceedings against Aegis for alleged failures in their supervisory procedures related to detection of suspicious activities and violations of Exchange Act rules. Aegis as assessed a $750,000 fine.
- March 2018-Aegis was assessed a fine of $550,000 by the SEC for supervisory failures related to penny stock transactions.
Aegis Capital Corp. was formed in 1984 and is headquartered in New York. They are licensed to sell securities in 53 States and Territories. While most of their offices are located on the East Coast in Connecticut, Florida, New Jersey and New York, they also have offices in other locations, including Dallas, Texas, and Portland, OR.
If you have questions about an account with Aegis Capital Corp. call for a no charge consultation 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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