March 2017 – The firm was censured and fined $52,000 and ordered to pay $615.87, plus interest, in restitution to investors; and required to revise its WSPs. Apparently the order memoranda failed to document the correct information regarding orders and these tickets improperly indicated that the orders were “held” orders.
The findings also stated that in transactions for or with a customer, the firm reportedly failed to execute a customer order fully and promptly.
Official Review Site of AEGIS CAPITAL CORPORATION
Thursday, July 8, 2021
AEGIS CAPITAL CORPORATION Fined $52,000
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