Search for: "Aegis Capital Corporation"
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15 Jan 2019, 8:06 am
Nick Son (CRD #1178523) has been employed with Aegis Capital Corp since August 2014 and was also registered with Aegis from March 2010 to April 2011. [read post]
7 Sep 2022, 7:01 am
Did You Invest In VSRPs With Aegis Capital Corporation? [read post]
20 Jun 2017, 7:31 am
Aegis Capital Corporation was founded in 1984 and is based in New York, New York. [read post]
12 Mar 2021, 11:01 am
Aegis Capital Corp. [read post]
21 Jun 2018, 12:16 pm
Mariani (CRD #2932631) is a currently registered broker with Aegis Capital Corp. [read post]
28 Dec 2018, 6:24 am
According to BrokerCheck records financial advisor Thomas Kelly (Kelly), currently employed by Aegis Capital Corp. [read post]
29 Mar 2018, 11:04 am
Aegis Capital Corporation fined $1.3 Million According to a press announcement today, Aegis Capital Corporation will pay $1.3 million in fines after reportedly admitting it failed to file suspicious activity reports on deals that should have set off red flags for potential money-laundering activity, regulators said. [read post]
12 Mar 2021, 11:01 am
Aegis Capital Corp. [read post]
28 Nov 2017, 6:38 am
Falcon has spent 20 years in the securities industry and has been registered with Aegis Capital Corporation in Florida since 2013. [read post]
12 Aug 2015, 8:42 am
From the Desk of Jim Eccleston at Eccleston Law LLC: New York-based Aegis Capital Corporation has been fined $950,000 by the Financial Industry Regulatory Authority over allegations of improper sales of unregistered penny stock and anti-money laundering supervisory lapses.FINRA asserts that, from April 2009 to June 2011, Aegis liquated 3.9 billion shares of penny stocks which were not registered with the SEC. [read post]
22 Nov 2018, 6:00 am
According to BrokerCheck records former financial advisor Thomas Kelley (Kelley), currently employed by Aegis Capital Corp. [read post]
14 Dec 2014, 11:04 am
The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp. [read post]
6 Jan 2015, 7:10 am
The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp. [read post]
29 Aug 2011, 3:49 am
A recent study by Melsa Ararat and George Dallas under the aegis of the International Finance Corporation (IFC) highlights some of the special issues affecting corporate governance in emerging markets. [read post]
18 Mar 2021, 7:27 am
Kishan Parikh’s broker report indicates that he was registered with Aegis Capital Corporation in New York, NY from 2012 until April 2019. [read post]
21 Jun 2018, 12:36 pm
Broker Keith Michael D’Agostino (CRD #2837860, also spelled “Dagostino”) is currently registered with Aegis Capital Corporation (CRD #15007) in Melville, NY since 2014. [read post]
2 Jul 2015, 9:05 am
As a financial advisor with Aegis Capital Corporation, Segal allegedly stole funds while telling clients that he was investing the money in Certificates of Deposit. [read post]
14 Nov 2018, 12:59 pm
Thomas Edison Kelly, Jr (CRD #2877415) is a registered FINRA broker who is currently employed with Aegis Capital Corporation (CRD #15007) of New York, NY. [read post]
26 Dec 2018, 1:28 pm
(CRD #119037), Aegis Capital Corp. [read post]
29 Aug 2022, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Matthew Steven Gaer (Gaer), currently employed by Aegis Capital Corporation (Aegis) has been subject to at least two customer complaints during the course of his career. [read post]
