August 2015 – According to a settlement with FINRA, the firm agreed to pay $950,000 over allegations of improper sales of billions of shares of unregistered penny stocks and anti-money- laundering supervisory lapses. Two former chief compliance officers at the firm also were suspended and fined over the charges.
Potential Lawsuits to Recover Financial LossesIf you have concerns regarding investments you purchased through Aegis Capital Corp. and would like to speak with a securities attorney, please call The White Law Group at 888-637-5510.
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois.
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