Search for: "Aegis Capital Corporation"
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25 Jul 2022, 4:10 am
VOTE Stephen Kohn for Small Firm Governor (BrokeAndBroker.com Blog)SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft (SEC Release)Statement Regarding In the Matter of Aegis Capital Corporation by SEC Commissioner Hester M. [read post]
30 Jan 2023, 8:11 am
MB Schreiber (MB “Mickey” Schreiber CRD# 1032600) is a registered broker whose most recent employer was Aegis Capital Corp. [read post]
20 Apr 2022, 7:59 am
His previous employers include Aegis Capital Corp. [read post]
1 Oct 2010, 5:00 am
In MCG Capital Corporation v. [read post]
23 Jan 2024, 8:49 am
Michael Fasciglione (CRD# 1806486) is a previously registered broker last employed with Aegis Capital Corp. [read post]
5 Jun 2020, 1:52 am
The customer complaint filed in February 2019 is requesting unspecified damages from Kolta’s former broker dealer Aegis Capital Corp. [read post]
5 Jun 2020, 1:52 am
The customer complaint filed in February 2019 is requesting unspecified damages from Kolta’s former broker dealer Aegis Capital Corp. [read post]
30 Oct 2020, 3:21 am
He also worked at Pruco Securities Corporation from February 1982 until June 2002. [read post]
30 Oct 2020, 3:21 am
He also worked at Pruco Securities Corporation from February 1982 until June 2002. [read post]
20 May 2014, 1:43 pm
These essential attributes of corporateness, they say, preclude shareholders from exercising their religion under the aegis of the corporate form. [read post]
21 Jun 2010, 1:08 pm
In MCG Capital Corporation v. [read post]
1 Jul 2019, 7:03 am
From June 2017 until February 2018 Kolta was registered with Aegis Capital Corp. [read post]
21 Apr 2021, 9:37 am
AEGIS CAPITAL CORP. [read post]
23 Dec 2022, 8:27 pm
Aegis Capital, LLC. [read post]
15 Oct 2020, 3:14 am
Pratul Victor Agnihotri Suspended and Fined $7.5K by FINRA Starting February 2015 until January 2019, while associated with Aegis Capital Corporation and Spartan Capital Securities, broker Pratul Agnihotri reportedly formed and became the Chief Executive Officer of Exergizer Corporation, a company that purportedly sold an exercise apparatus, according to his Brokercheck page. [read post]
15 Oct 2020, 3:14 am
Pratul Victor Agnihotri Suspended and Fined $7.5K by FINRA Starting February 2015 until January 2019, while associated with Aegis Capital Corporation and Spartan Capital Securities, broker Pratul Agnihotri reportedly formed and became the Chief Executive Officer of Exergizer Corporation, a company that purportedly sold an exercise apparatus, according to his Brokercheck page. [read post]
31 Oct 2018, 6:35 am
Thomas Edison Kelly Jr. is a NY Broker with 21 Years in the Securities Industry with 5 Different Firms, and is Currently Registered with Aegis Capital Corp. in NYC Thomas Kelly Jr. is a NY broker with 21 years in the securities industry at 5 different firms, and is currently registered with Aegis Capital in New York, NY, FINRA reports. [read post]
10 Jan 2018, 4:40 pm
Southlake Capital, LLC Joseph Francis Valdini Aegis Capital Corp. [read post]
10 Jul 2017, 10:15 am
According to his FINRA BrokerCheck Report, Gregg Templeton was registered with Aegis Capital Corporation in New York from 01/28/2016 – 03/04/2016. [read post]
2 Oct 2018, 5:44 am
Robert Nash Merrimac Corporate Securities, Inc. [read post]
