Fined: Aegis Capital Corp. Fined by FINRA

Fined

Aegis Capital Corp. Fined by FINRA

10 July 2019

An AWC was issued in which the firm was censured and fined $93,125. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that while participating in public offerings that were subject to FINRA Rule 5110, it failed to file certain documents specified in FINRA Rule 5110(b)(5) with FINRA after it had filed such documents with the SEC. The findings stated that to date, these documents have not been filed with FINRA.

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Fined: Aegis Capital Corp. Fined by FINRA (December 2018)

Fined

Aegis Capital Corp. Fined by FINRA

14 December 2018

An AWC was issued in which the firm was censured and fined $64,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to report to the Trade Reporting and Compliance Engine® (TRACE®) transactions in TRACE-eligible corporate debt securities and transactions in TRACE-eligible securitized products within the time required by FINRA Rule 6730(a).

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