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Violation Tracker Individual Record

Company: Aegis Capital Corp.
Penalty: $550,000
Year: 2018
Date: March 28, 2018
Offense Group: financial offenses
Primary Offense: anti-money-laundering deficiencies
Secondary Offense: financial institution supervision failures
Violation Description: The Financial Industry Regulatory Authority fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect suspicious activity connected to its sale of low-priced securities.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government.
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.