Search for: "Aegis LLC"
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8 Sep 2022, 6:39 am
Zamansky LLC is investigating Aegis Capital Corp. [read post]
17 Feb 2021, 2:01 pm
Luftschein, who operated in the greater New York area, was registered with Aegis Capital Corp. from 2013-2016, and then with Joseph Stone Capital LLC for the years 2017-2018. [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]
6 May 2020, 9:12 am
A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. [read post]
15 Jun 2022, 6:22 am
Upon information and belief, Aegis Capital Corp. was a part of Emerson Equity LLC’s network of broker-dealers who sold the speculative, high-risk, and illiquid GWG L Bonds. [read post]
31 Jan 2022, 6:41 am
Inc., Ryan, Beck & Co., LLC, Gruntal & Co., LLC, and several other firms. [read post]
9 Nov 2021, 1:34 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
21 Apr 2022, 1:40 pm
According to a press release, GWG and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
5 Oct 2020, 7:34 am
Prior employers include Gunnallen Financial, Inc (CRD#:17609), Maxim Group LLC (CRD#:120708) and Bear, Stearns & Co. [read post]
21 Jun 2022, 1:21 pm
He was previously employed with Rockwell Securities LLC (CRD#:142483) of New York, NY, and S.W. [read post]
19 Oct 2021, 7:41 am
(CRD#:505), also of Melville Maxim Group LLC (CRD#:120708) of Woodbury, NY Wachovia Securities, LLC (CRD#:19616) of Manhasset, NY He has been in the industry since 1986. [read post]
31 Mar 2022, 8:46 am
To learn more, please see: Aegis Capital Corp. [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]
29 Mar 2018, 11:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
15 Feb 2021, 7:31 am
From October 2002 until February 2016 Duggan was registered with Maxim Group LLC. [read post]
22 Mar 2021, 10:16 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
7 Jan 2021, 7:43 am
Previously, from March 2014 through December 2017, he was registered with Aegis Capital Corp. in Melville, New York. [read post]
26 Sep 2022, 8:59 am
The post Aegis Broker Alan Z. [read post]
9 Nov 2021, 1:34 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
12 Aug 2020, 12:31 pm
ECI Management LLC reversed the trial court’s grant of summary judgment in favor of an insurer, AEGIS Electric & Gas International Services Ltd. [read post]
