Aegis Capital Corp. Pays $2.8 Million to FINRA Over Excessive Trading Complaint

On November 9, 2021, FINRA announced that Aegis Capital Corp. would pay a $2.8 million in connection with an excessive trading complaint. The $2.8 million includes restitution of $1.7 million, which will be paid to 68 customers whose accounts were impacted. An additional $1.1 million was paid as a fine for Aegis’ supervisory violations. Here are the fast facts about Aegis’s fine:

FINRA AWC: Aegis Capital

AWC With Aegis Supervisors Joseph Giordano & Robert Birardi

Did You Have a Complaint Regarding Aegis Capital?

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