{"id":4219,"date":"2017-03-15T17:31:53","date_gmt":"2017-03-15T22:31:53","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=4219"},"modified":"2022-03-25T13:52:43","modified_gmt":"2022-03-25T18:52:43","slug":"aegis-capital-investigation-finra-fincen-sec","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/aegis-capital-investigation-finra-fincen-sec\/","title":{"rendered":"Aegis Capital Under Investigation by FINRA, FINCEN and SEC"},"content":{"rendered":"

\t\t\t\tThe US Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the US Treasury Department\u2019s Financial Crimes Enforcement Network are investigating brokerage firm Aegis Capital Corp. The reason for the probe has not been disclosed. <\/p>\n

In Aegis Capital\u2019s latest audited financial statement, the firm said that it has responded to the joint inquiry. A lawyer for the broker-dealer said that it would not comment further. The attorney, however, did note that regulators have yet to file a complaint and that Aegis Capital is not in litigation at the moment with any of these agencies.<\/p>\n

According to Aegis Capital\u2019s BrokerCheck profile, the firm has 27 previous disclosures, including one in 2015 that the broker-dealer settled with FINRA, agreeing to pay $950K over the allegedly improper sales of billions of unregistered penny stock shares<\/a> and purported lapses in anti-money-laundering supervision. Two ex-Aegis Capital chief compliance officers were suspended and ordered to pay related fines. <\/p>\n

Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

The US Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the US Treasury Department\u2019s Financial Crimes Enforcement Network are investigating brokerage firm Aegis Capital Corp. The reason for the probe has not been disclosed. In Aegis Capital\u2019s latest audited financial statement, the firm said that it has responded to the joint inquiry. A […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739,3801],"tags":[2763,2764],"class_list":["post-4219","post","type-post","status-publish","format-standard","hentry","category-finra","category-sec","tag-aegis-capital","tag-fincen"],"yoast_head":"\nAegis Capital Under Investigation by FINRA, FINCEN and SEC — Investor Lawyers Blog — March 15, 2017<\/title>\n<meta name=\"description\" content=\"The US Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the US Treasury Department\u2019s Financial Crimes Enforcement — March 15, 2017\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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