Whistleblower notes accusing Aegis Capital of stock manipulation schemes

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¶