Tag: Aegis
FINRA Fines Former Aegis Broker for Accepting Cash Gift from Client
The Financial Industry Regulatory Authority has suspended and fined former Aegis broker Michael Emile Lian for accepting an $8,000 gift from a client without...
Aegis Capital Fined $1.3 Million for Failing to File Suspicious Activity...
Aegis Capital Corporation, a New York-based brokerage firm with 400 reps, was fined a combined $1.3 million by both the SEC and FINRA for...
