Aegis Capital, compliance officers resolve cases with FINRA, SEC

Aegis Capital must pay a $550K fine to the Financial Industry Regulatory Authority, and a $750K penalty to the SEC for failing to have adequate supervisory and anti-money laundering programs in place. Two Aegis CCOs were found to have aided and abetted the violations.

lock iconTHIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.