Search for: "Aegis LLC"
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11 Nov 2017, 9:04 am
(Aegis). [read post]
26 Sep 2019, 9:10 am
(Aegis) out of New York, New York. [read post]
25 Sep 2019, 7:06 am
(Aegis) out of New York, New York. [read post]
19 Oct 2018, 6:46 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
19 Oct 2018, 6:46 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
1 Aug 2022, 4:04 am
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible (BrokeAndBroker.com Blog)FINRA Censures and Fines JP Morgan Securities In High-Profile Beverley Schottenstein Case (without naming Schottenstein!) [read post]
19 Oct 2018, 6:47 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
5 Mar 2019, 10:03 am
Accelerated Capital Group Advisory Group Equity Services, Ltd Aegis Capital Corp Aeon Capital, Inc. [read post]
20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Dow,… [read post]
1 Sep 2015, 7:34 am
Since March 2014, Mamane has been associated with Aegis Capital Corp. [read post]
18 Nov 2013, 3:44 am
Three weeks earlier, in BDC Finance LLC v. [read post]
10 Mar 2008, 5:57 pm
AEGIS MISSION ESSENTIAL PERSONNEL, LLC District of Columbia District Court Filed: March 6, 2008 Plaintiff: AEGIS DEFENCE SERVICES LIMITED, AEGIS DEFENCE SERVICES, LLC Defendant: AEGIS MISSION ESSENTIAL PERSONNEL, LLC Case Number: 1:2008cv00407 International Info Sys Security Certification Consortium Inc v. [read post]
5 May 2011, 6:24 am
AEGIS and WPSC then sued Arby to recover the money they paid in the settlement, but the Brown County Circuit Court dismissed the case. [read post]
19 Oct 2009, 8:12 am
According to the FTC, the companies -- World Innovators, Inc., ExpatEdge Partners LLC, Onyx Graphics, Inc., Directors Desk LLC, Collectify LLC, and Progressive Gaitways LLC – represented to customers that their certifications under the Safe Harbor program were current, even though those certifications had been allowed to lapse. [read post]
22 Feb 2022, 9:02 am
(CRD#:15007), Holmdel, NJ, and Obsidian Financial Group, LLC (CRD#:104255, expelled by FINRA on 10/16/2013) of Red Bank, NJ. [read post]
12 Apr 2022, 1:15 pm
Aegis Development Co., LLC, 21-0741 (La. [read post]
10 Jul 2023, 12:36 pm
(CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. [read post]
13 Feb 2015, 6:50 am
Then on June 17, 2010, FINRA found that Baldinger established Ignorus, LLC, naming Eventus as the managing member and manager and Baldinger established Aegis Holdings, LLC with Ignorus being named as the managing member and manager. [read post]
2 Oct 2018, 5:44 am
Jason Sullivan Woodstock Financial Group, Inc Wells Fagro Clearing Services, LLC Michael Venturino Trident Partners LTD Aegis Capital Corp Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
17 Apr 2023, 7:03 am
According to his FINRA BrokerCheck profile, Perera was reportedly affiliated as a broker with the following firms among others: 04/18/2018 – 09/12/2022, AEGIS CAPITAL CORP. [read post]
