Aegis Capital Corporation

The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as Aegis Capital Corp. Many investors do not realize when their financial advisor engages in securities misconduct, but there are steps that can be taken to recover losses. There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, false representations, and churning. The attorneys at Gana LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

Aegis Capital Corp operates as an investment bank and provides financial advisory services such as: private placements and corporate consulting services.

Aegis Capital Corporation - By the Numbers:

  • CRD #: 15007
  • SEC #: 31616
  • Regulatory Events: 26
  • Customer Complaints: 1
  • Employees: 451

Aegis Capital Corporation - In the News:

New York Stock Exchange Arca, Inc v. Aegis Capital Corp (Case #: 2014039943501) - Aegis was fined $15,000 for the findings that alleged that the firm inadequately supervised. The alleged lack of supervision was regarding certain applicable securities laws and regulations and/or the rules of exchange regarding mandatory inspections that are in place in order to ensure that authorized traders follow the requirements needed to access the exchange on behalf of the firm or its clients.

NASDAQ Stock Market v. Aegis Capital Corp (Case #: 2014041623901) - Aegis was fined $25,000 due to the findings that showed that during specific periods, the firm allegedly failed to immediately display customer limit orders in NASDAQ exchanged securities in its public quotations. This alleged delayed display occurred at times such as, when the order was at a price that would have improved the firm's bid or when the order was priced equal to the firm's bid. Additionally, the firm allegedly failed to ensure the compliance of its supervisory procedures that require daily review of order records and report cards by the principal in charge.

FINRA v. Aegis Capital Corp (Case #: 2013036669201) - Aegis was fined $145,000 by FINRA for allegedly lacking maintenance of written supervisory procedures regarding the daily reviews and reporting of trades and transactions to FINRA.

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