Search for: "Aegis Capital Corporation"
Results 21 - 40
of 68
Sort by Relevance
|
Sort by Date
30 Jun 2020, 12:47 pm
Aegis Capital Corporation reportedly serves as the book runner for the offering. [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]
1 Jul 2019, 7:03 am
From June 2017 until February 2018 Kolta was registered with Aegis Capital Corp. [read post]
3 Feb 2019, 9:46 am
From December 2008 until November 2010 Wilson was registered with Aegis Capital Corp. [read post]
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]
28 Dec 2018, 6:24 am
According to BrokerCheck records financial advisor Thomas Kelly (Kelly), currently employed by Aegis Capital Corp. [read post]
26 Dec 2018, 1:28 pm
(CRD #119037), Aegis Capital Corp. [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 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]
8 Nov 2018, 6:52 am
Kolta has been working at Wooden Capital Management in Garden City, NY since April 6, 2018. [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]
2 Oct 2018, 5:44 am
Robert Nash Merrimac Corporate Securities, Inc. [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]
21 Jun 2018, 12:16 pm
Mariani (CRD #2932631) is a currently registered broker with 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]
6 Mar 2018, 8:13 am
Wells Fargo Advisors, LLC Joesph Francis Valdini Aegis Capital Corp. [read post]
17 Jan 2018, 6:23 am
LLC from 1998 to 2012, Aegis Capital Corp. from 2012 to 2016, and National Securities Corporation from 2016 to 2017. [read post]
10 Jan 2018, 4:40 pm
Southlake Capital, LLC Joseph Francis Valdini 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]
