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9 Nov 2021, 1:34 pm
As a result, Aegis failed to identify and address its representatives’ potentially excessive and unsuitable trading in customer accounts, including trading by eight Aegis representatives who excessively traded 31 customers’ accounts, according to FINRA. [read post]
29 Jul 2020, 8:00 am
Continue Reading › The post Aegis Capital Broker Accused by Investors of Negligence, Unsuitable Investments and Unauthorized Trading appeared first on Investor Lawyers Blog. [read post]
12 Jul 2021, 2:26 pm
Broker (Douglas Szempruch) Suspended for Excessive Trading and Unauthorized Trading appeared first on Securities Arbitration Lawyer Blog. [read post]
9 Jul 2021, 10:29 am
(“Aegis Capital”), was suspended for 18 months and fined $5,000 for excessive trading. [read post]
31 Mar 2022, 8:46 am
FINRA Reportedly Suspends Aegis Broker Scott Hananel for Excessive, Unsuitable Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended Scott Neil Hananel (CRD#: 3080827) for 15 months and fined him $7,500 in connections with allegations that he engaged in excessive and unsuitable trading in Aegis accounts of six of his customers between July 2014 and December 2018. [read post]
9 Nov 2021, 5:48 pm
As a result, Aegis Capital failed to identify trading in hundreds of customer accounts that were potentially excessive and unsuitable, including trading conducted by eight Aegis Capital registered representatives in the firm’s Melville and Wall Street branches whose trading in the accounts of 31 firm customers resulted in an average annualized cost-to-equity ratio (or break-even point) of 71.6%, an average annualized turnover rate of 34.9, combined… [read post]
17 Nov 2021, 7:13 am
68 Customers To Receive Restitution From NY-Based Broker-Dealer, Aegis Capital The Financial Industry Regulatory Authority (FINRA) has sanctioned Aegis Capital, which will pay about $2.8M for the excessive and unsuitable trading that allegedly took place in dozens of customers’ accounts. [read post]
24 May 2022, 6:24 am
“Aegis also received more than 50 complaints from customers alleging excessive, unsuitable or unauthorized trading in their firm accounts…Aegis failed to take reasonable steps to investigate these numerous red flags of potentially excessive and unsuitable trading,” according to the AWC. [read post]
30 Nov 2021, 9:15 am
This includes eight Aegis representatives engaged in excessive trading for 31 client accounts who incurred $2.9 million in trading fees. [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]
26 Apr 2022, 8:22 am
Did You Invest With Aegis Capital? [read post]
3 May 2018, 2:08 pm
FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the SEC. [read post]
1 Dec 2021, 9:33 am
Aegis allegedly did not recognize excessive trading in hundreds of customer accounts, causing in millions of dollars of losses for customers. [read post]
26 Jan 2021, 6:56 am
Continue reading The post Financial Advisor Anthony Tricarico Suspended by FINRA for Excessive Trading While Employed at Aegis Capital Corp. [read post]
17 Mar 2021, 2:00 pm
Parikh made unsuitable recommendations and excessively traded the accounts of five of his customers. [read post]
30 Nov 2021, 2:05 pm
” Because of this, it is alleged that Aegis did not recognize excessive and unsuitable trading in hundreds of customer accounts. [read post]
7 Sep 2022, 7:01 am
They have 15-year maturity periods and are not traded on any public market. [read post]
30 Mar 2018, 3:31 pm
” Of considerable concern to both the SEC and FINRA, Aegis allegedly failed to identify these trades as suspicious even after its clearing firm put Aegis on alert of various Anti-Money Laundering (“AML”) red flags surrounding “suspicious low-priced securities transactions. [read post]
20 Dec 2021, 12:45 pm
The AWC states that Aegis allegedly did not recognize excessive trading in customer accounts, causing in millions of dollars of losses. [read post]
8 Sep 2022, 6:39 am
Aegis Capital failed to reasonably implement its own policies and procedures designed to prevent misleading disclosures regarding structured products and unauthorized trading from January 2015 through May 2019. [read post]
