EFTA00097482 # 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 www.finra.org ## 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 www.finra.org ## Kevin Mckenna and Robert Eide (sec.gov) ## Kevin Mckenna and Robert Eide - SEC.gov | HOME 3 As a result of the foregoing, McKenna willfully 2 aided and abetted and caused Aegis’ violations of Exchange Act Section 17(a) and Rule 17a-8 thereunder and Eide was a cause of Aegis’ violations. www.sec.gov ## Stetson: Honig side kick. Therapix now SciSparc. Still Israel Beginning on pg 10 of the SciSparc SEC approved and reviewed registration ## https://www.sec.gov/Archives/edgar/data/1611746/000121390021022427/ea139707- f1_scisparcltd.htm#a_009 www.sec.gov 20 Raul Wallenberg Street, Tower A, Tel Aviv 6971916, Israel. Tel: (+972) (3) 610-3100 : Puglisi & Associates. 850 Library Ave., Suite 204. Newark, DE 19711 www.sec.gov EFTA00097483 Sellers include: Aegis CEO Robert Eide Pension Plan: NOW that is f'n funny Hoboken restraunteur Rohit Bawa NYC Restaurateur Revamping Former Liberty Bar Site | Jersey Digs ## NYC Restaurant Revamping Former Liberty Bar Site | Jersey Digs The building itself was designed by Minervini Vandermark and will be four stories of concrete construction. The residential component will consist of three separate 3-bedroom, 2-bathroom units, each occupying one floor. jerseydigs.com ## Connecticuit distributor Michael Bozzuto Contact | Bozzutos.com Contact | Bozzutos.com Connect With One of Our Teams. We value your feedback. Let us know what's on your mind and how we can serve you better. Please select a department on the left to send a message directly to the team you would like to reach. www.bozzutos.com ## and, prolific Bag Man Michael Bigger Bigger Capital EDGAR Search Results (sec.gov) AND many more More on New York based Bigger Capital coming Of course, Aegis has a BOOMING wealth Management business How many related party transactions in this SEC reviewed Therapix F1? https://www.sec.gov/Archives/edgar/data/1611746/000121390016017994/ff12016_therapixbio.htm#a_017 Next up: SciSparc Aegis "Investment banking" has ties to Israeli military Isaac Livni-EIDE: related? Investment Banking Team - Aegis Capital Corp. (aegiscapcorp.com) Aegis just did an SEC approved offering for Meten EdtechX Education Group China EDGAR Search Results (sec.gov) EFTA00097484 Brought to the US public/NASDAQ by the same Bag Man who brought Hwang/Archegos money laundering shell GSX to the US/NASDAQ Puglisi and Associates:Delaware https://www.sec.gov/Archives/edgar/data/1796514/000121390020018525/ea124386-f1_metenedtech.htm ## Form F-1 (sec.gov) Some reports I've read suggest the SEC won't investigate Archegos/Hwang because it lacks "jurisdiction". Perhaps Ms Hodgman/Strzok can clarify for us. Recall: Honig,Stetson/Frost/Alpha Cap (my TCR). As I REPEATEDLY told the SEC: multi BILLIONAIRE Frost didn't risk it all to make a few million. He/they were laundering 8 (EIGHT) YEARS after submitting my NITE/UBS TCR with the SEC, Alpha Capital Anstalt is very much up and running in 2021 EDGAR Search Results (sec.gov) For His part: Frost bought Ladenberg from Icahn/Lorber/ et al: Vector/New Valley AFTER Ladenberg had bought Icahn's former firm Gruntal. Gruntal: SAC,Sater,Feinberg, Icahn: MILKEN Credit Suisse is controlled by Milken flunkies. Including the Risk Officer who quietly stepped down. Greensill: Jim Justice: Magna/Sason/Saviola/Sichenzia: SDNY/NY Supreme Court I suspect there will be no SEC investigation of Credit Suisse. Ms Hodgman Strzok is an expert at criminal obstruction. Pretty good, eh? It's a gift really Cheers! Christopher J Dilorio Whistleblower Extraordinaire From: Chris Dilorio < Sent: Monday, May 24, 2021 5:47 AM