All Aegis Capital articles

  • Blog post

    Aegis Capital, compliance officers resolve cases with FINRA, SEC

    2018-03-30T09:30:00Z

    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.