Summary
The White Law Group is investigating potential securities claims involving Aegis Capital Corp. (CRD #15007, New York, NY).
Aegis Capital Corp., a mid-sized broker-dealer based in New York City, has 36 regulatory events, according to the Financial Industry Regulatory Authority (FINRA).
The firm was apparently at the top of the list of the worst ranked brokerage firms in the securities industry from 2007-2016, according to a report by the Securities Litigation & Consulting Group (SLCG).
The firm’s white paper “Rating Brokerage Firms by Their Complaint Histories Rather Than by Their Brokers’ Histories” found that while “only 2.6 percent of the brokers at firms with more than 200 brokers have customer complaints, Aegis Capital (24.49 percent) employs bad brokers (with complaints) at nearly 10 times that rate.”
Most recently, the Financial Industry Regulatory Authority (FINRA) has censured and fined Aegis Capital Corp. for corporate bond overcharges.
March 10, 2021 FINRA Censures and Fines Aegis Capital Corp. for allegedly failing to give favorable pricing to customers in connection with 26 corporate bond transactions.
Aegis reportedly also violated Municipal Securities Rulemaking Board Rules G-30 and G-17 by failing to purchase municipal securities for its own account from a customer, or sell municipal securities for its own account to a customer, at an aggregate price (including any mark-up or mark-down) that was fair and reasonable in connection with two municipal bond transactions.
Aegis was censured and fined $80,000 and ordered to pay restitution to customers in the total amount of $43,912.89 plus interest.
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