Regulatory Alerts2025-09-05
Added · Updated
Consent Order - Aegis Capital Corp.
Aegis Capital Corp. consents to cease and desist from violating Connecticut securities regulations, specifically regarding the compensation of unregistered sales assistants and failures in supervisory systems. The firm must pay a $20,000 administrative fine to the State of Connecticut no later than the date the order is entered. This resolution addresses violations identified during a December 2023 branch examination without Aegis admitting or denying the allegations.
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