EFTA00072187¶
Aegis Capital Corporation (sec.gov)¶
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDING File No. 3-18412 ORDER INSTITUTING ADMINISTRATIVE PURSUANT TO SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(e) OF THE INVESTMENT ADVISERS ACT OF 1940, -SEC.gov | HOME¶
3 As a result of the foregoing, Aegis willfully 2 violated Exchange Act Section 17(a) and Rule 17a-8 thereunder. RESPONDENT Aegis is a dually-registered investment adviser and broker-dealer with multiple branches¶
| Well known to the SEC/FINRA: WHO were the customers? |
| Who were the executing BD/MM's? MORE SEC "penny stock trading fairies" of course. NOPE: NITE. |
| WHY are all entities once again UN Named? |
| Robert_Eide.pdf(finra.org) |
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS - FINRA.org¶
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DISCIPLINARY PROCEEDING NO. 2011026386002 HEARING OFFICER: MJD ORDER ACCEPTING OFFER OF SETTLEMENT August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 2011026386002 was filed on October 21, 2014, by the¶
Orders Accepting Offers of Settlement - Aegis Capital Corp., Charles Smulevitz, Kevin McKenna (finra.org)¶
Complainant, Hearing Officer Rochelle S. Hall Department of Enforcement, Disciplinary Proceeding ORDER ACCEPTING OFFER OF OFFICE OF HEARING OFFICERS INDUSTRY REGULATORY AUTHORITY FINANCIAL Aegis Capital Corp. SETTLEMENT Date: August 3, 2015 Respondents. INTRODUCTION - FINRA.org¶
another F11”4RA member and registered with FINRA, through the firm, in several capacities, including as a GSR and GSP. Under Article V ofthe FINRA By-Laws,FINRA possesses¶